TRUNG THU HYDROPOWER PLANT INVESTMENT & …€¦ · 2016-05-20 · TRUNG THU HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT In Muong Cha district, Tua Chua – Dien Bien province

RESETTLEMENT PLAN (RP)

Type of document: Resettlement plan (RP)

July 2014

TRUNG THU HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT

In Muong Cha district, Tua Chua – Dien Bien province

Prepared by: Trung Thu Hydropower JSC.

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ABRREVIATION

AHH Hộ BAH Affected household AP Người BAH Affected person/people CPC UBND xã Commune people’s committee DMS Detailed measuring survey DPC UBND huyện District people’s committee DRC Hội đồng ĐB-TĐC District resettlement and compensation board EMPF Khung Chính sách Ethnic Minority Policy Framework EMDP Kế hoạch phát triển DTTS Ethnic Minority Development Plan GOV Chính phủ Vietnames Government HH Hộ Household IOL Inventory of losses LAR Land acquisition and resettlement LURC Giấy CNQSDĐ Land use right certificate MOF Bộ TC Ministry of Finance MOLISA Bộ LĐ-TB-XH Ministry of Labour, Invalids and Social Affairs NGO Tổ chức phi chính phủ Non-governmental organisation HPW CTTĐ Hydropower Work/plant OP 4.12 Operational Policy 4.12 by the World Bank PPC UBND tỉnh Provincial People’s Committee RAP Kế hoạch TĐC Resettlement action plan TOR Terms of Reference USD Đô la United State dollar VND Đồng Vietnamese dong WB NHTG (Ngân hàng) World Bank

WEIGHT AND INDEX EQUIVALENTS

ha – Hectare

km - Kilometer

m - meter

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DEFINITION OF TERMS

Affected person (AP/Affected Household)

- Refers to any person or persons, household, firm, private or public institution that, on account of changes resulting from the Project, will have its (i) standard of living adversely affected; (ii) right, title or interest in any house, land (including residential, commercial, agricultural, forest and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted (like as safety zone) or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence or habitat adversely affected, with or without displacement.

In the case of affected household, it includes all members residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components.

Cut-off date

- This refers to the date prior to which the occupation or use of the project area makes residents/users of the same eligible to be categorized as AP. Persons not covered in the census are not eligible for compensation and other entitlements, unless they can show proof that (i) they have been inadvertently missed out during the census and the IOL; or (ii) they have lawfully acquired the affected assets following completion of the census and the IOL and prior to the conduct of the detailed measurement survey (DMS).

Detailed Measurement Survey (DMS)

- With the aid of the approved detailed engineering design, this activity involves the finalization and/or validation of the results of the inventory of losses (IOL), severity of impacts, and list of APs earlier done during RP preparation. The final cost of resettlement can be determined following completion of the DMS.

Entitlement - Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the APs, depending on the type and severity of their losses, to restore their economic and social base.

Host community - Means the community already in residence at a proposed resettlement or relocation site.

Income restoration - This is the re-establishment of sources of income and livelihood of the affected households.

Inventory of loss (IOL)

- This is the process where all fixed assets (i.e., lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way (ROW) are identified, measured, their owners

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identified, their exact location pinpointed, and their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of APs will be determined.

Land acquisition - Refers to the process whereby an individual, household, firm or private institution is compelled by a public agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purposes in return for compensation at replacement costs.

Rehabilitation

- This refers to additional support provided to APs losing productive assets, incomes, employment or sources of living, to supplement payment of compensation for acquired assets, in order to achieve, at a minimum, full restoration of pre-project living standards and quality of life.

Relocation

- This is the physical relocation of an AP from her/his pre-project place of residence and/or business

Replacement Cost The term used to determine the value enough to replace affected assets and/or cover transaction costs necessary to replace the affected assets without depreciation for such assets as well as material advantage, taxes and/or travel expenses.

Replacement cost Study

- A process related to evaluating alternative replacement cost for land, housing or other assets based on empirical data as follows:

(i) Productive land (Agricultural, fishpond, garden, and production-forest) based on market prices that reflect recent land sales, and in the absence of such recent sales, based on productive value;

(ii) Residential land based on market prices that reflect recent land sales, and in the absence of such recent land sales, based on similar location attributes;

(iii) Houses and other related structures based on current market prices of materials and labor without depreciation nor deductions for salvaged building materials;

(iv) Standing crops equivalent current market value of the crop at the time of compensation;

(v) Perennial crops and trees, cash compensation equivalent to current market value given the type, age and productive value (future production) at the time of compensation.

(vi) Timber trees, based on diameter at breast height at current market

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prices.

Resettlement

- This includes all measures taken to mitigate any and all adverse impacts of a project on AP property and/or livelihoods, including compensation, relocation (where relevant), and rehabilitation as needed.

Resettlement Plan (RP)

- This is a time-bound action plan with budget setting out compensation and resettlement, ethnic minority strategies, objectives, entitlement, actions, responsibilities, monitoring and evaluation.

Severely affected households

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This refers to affected households who will (i) lose 20% or more of their total productive land and/or assets, (ii) have to relocate; and/or (iii) lose 20% or more of their total income sources due to the Project.

Vulnerable groups - These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized from social development by the effects of property loss and land or other project impacts. The resettlement plan (RP) determines vulnerable households specifically include: (i) female headed households with many dependants and without support, (ii) illiterature headed households; (iii) disabled household heads, (iv) households falling under the generally accepted indicator for poverty promulgated by Ministry of Labour, Invalids and Social Affairs, (v) children and the elderly-headed households who are landless and with no other means of support, and (v) Severely affected households

Practical consultation A process (i) is early started right at beginning of the project and consecutively continued during project progress; (ii) which includes timely disclosure of related project information which is understandable and easy to access by the affected people; (iii) is conducted in an environment of no threatening and force or enforcement; (iv) is integrated and met gender sensitive issues, adjusted as per required by the disadvantaged and vulnerable groups; and (v) creates conditions to include related view points of affected people and other stakeholders into decision making process like project design, itigation measures, sharing interest and development opportunities, and implementation issues.

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TABLE OF CONTENT

EXECUTIVE SUMMARY .................................................................................................................. ix

I. GENERAL INTRODUCTION ....................................................................................................... 1

A. Overview of Renewable Energy Development Project ............................................................... 1

B. Trung Thu Hydropower Plant ...................................................................................................... 2

C. Objectives of Resettlement Plan.................................................................................................... 5

D. Measures to be taken for mitigating impacts caused by the works ........................................... 5

II. IMPACT AREA OF TRUNG THU HYDROPOWER PLANT ................................................. 7

A. Land Impacts .................................................................................................................................. 7

B. Impacts on Crops and Trees ........................................................................................................ 10 C. Impacts on Structures .................................................................................................................. 11

D. Impacts on Livelihoods and Income ........................................................................................... 11

E. Impact on Vulnerable Groups ..................................................................................................... 12

F. Impacts on Community Assets .................................................................................................... 12

G. Summary of Impacts .................................................................................................................... 13

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY ........................... 15

A. General socio-economic characteristics in project area............................................................ 15

B. Socio-economic characteristics of affected households ............................................................. 16

C. Gender, gender equality and ethnic minorities ......................................................................... 22

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION ................. 26

A. Information disclosure ................................................................................................................. 26

B. Public consultation and participation ......................................................................................... 26

C. Results of information dissemination and Public consultation ................................................ 27

V. LEGAL FRAMEWORK AND ENTITLEMENT ..................................................................... 35

A. Requirement on policies of WB ................................................................................................... 35

B. Vietnam policy framework .......................................................................................................... 35

C. Regulations on compensation, assistance and resettlement by the local authority ................ 37

D. Some regulations applied in compensation, assistance of Trung Thu Hydropower Plant .... 38

V. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY ......................... 53

A. Legal basic for calculating compensation prices ....................................................................... 53

B. Replacement cost identification .................................................................................................. 53

C. Compensation for impacts and entittlement .............................................................................. 54

VI. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE ................... 59

A. Implementation schedule ............................................................................................................. 59

B. Institutional arrangements .......................................................................................................... 59

VII. GRIEVANCE REDRESS MECHANISM ............................................................................... 62

VIII. MONITORING AND REPORTING....................................................................................... 64

A. Internal Monitoring ..................................................................................................................... 64

B. External Monitoring ..................................................................................................................... 64

IX. BUDGET AND FINANCIAL SCHEDULE .............................................................................. 69

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LIST OF TABLES

Table-I-1 Work items and key parameters of Trung Thu Hydropower Plant .......................................... 3

Table I-2 Alignment alternatives in design to minimize impacts caused by land acquisition ............. 5

Table II-1 Affected land area and number of affected HHs upon each work item .................................. 7

Table II-2 Allocation of plant affected land (m2) .................................................................................... 8

Table II-3 Classification of acquired land from affected HHs interms of the project work items (m2) .. 9

Table II-4 Number of affected HHs and acquired area of land ............................................................... 9

Table II-6 Area of annual crop land to be affected ................................................................................ 10

Table II-7 Level of impact on production land ...................................................................................... 11

Table II-8 Information on Vulverable Groups ....................................................................................... 12

Table II-9 Information on community assets to be affected .................................................................. 13

Table II-10 Summary of impacts caused by the plant construction....................................................... 13

Table III-1 Enthnic Minority Affected HHs under socio-economic investigation ................................ 16

Table III-2 Education level of HH heads investigated per affected commune ...................................... 17

Table III-3 Information on main income sources of investigated HHs ................................................. 17

Table III-4 Average income of the investigated HHs (VND mil) ......................................................... 18

Table III-5 Monthly average expenditures of investigated HHs (VND Mil.) ....................................... 18

Table III-6 Number of HHs have deficient food sufficiency in recent 2 years ..................................... 19

Table III-7 Main water sources for investigated HH daily activities ..................................................... 19

Table III-8 Sanitary conditions .............................................................................................................. 20

Table III-9 Access to health care centers ............................................................................................... 20

Table III-10 Main energy sources for family lighting ........................................................................... 21

Table III-11 Main energy sources for cooking ...................................................................................... 21

Table III-12 General information on gender rate in the affected commune .......................................... 22

Table III-13 Labor allocation in families in terms of gender ................................................................. 24

Table IV-1 Time, venue and number of participants in commune public consultation meetings ........ 27

Table IV-2 Summary of contents of discussion and opinions at the Public consultation meetings ...... 27

Table IV-3 Concerns of affected community and commitment of the investor .................................... 31

Table V-1 Entittlement matrix .............................................................................................................. 39

Table V-1 Total compensation cost for affected HHs ........................................................................... 54

Table V-2 Compensation for affected trees, crops ................................................................................ 55

Table V-3 Total cost of assistance to affected HHs ............................................................................... 56

Table V-4 Compensation costs for affected public structure................................................................. 58

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Table VI-1 Implemenation schedule for entire project .......................................................................... 59

Table VIII-1 Monitoring and Evaluation Indicators .............................................................................. 66

Table IX-1 Summary of resettlement costs ........................................................................................... 69

ANNEXES

ANNEX 1 LIST OF AHs – TRUNG THU HYDROPOWER PROJECT........................................... 72

ANNEX 2 PROJECT INFORMATION BOOKLET (PIB) ................................................................ 89

ANNEX 3 TERMS OF REFERENCE ................................................................................................ 94

ANNEX 4 CONSULTATION MEETING MINUTES ..................................................................... 100

ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS ................................................... 122

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EXECUTIVE SUMMARY

Introduction

1. The general objective of the Renewable Energy Development Project (REDP) is to increase the supply of least-cost electricity to the national grid from renewable energy sources on a commercially sustainable basis in an environmentally and socially sustainable manner. Trung Thu Hydropower Plant is proposed for study in order to utilize natural flow in Nam Uc river to generate power and connect to local and national area electricity grid with maximum capacity of (30 MW). 2. Trung Thu Hydropower Plant locates in a focal route near Nam Uc river estuary converging on the Da river in Pa Ham commune, Muong Cha district and Trung Thu commune, Tua Chua district, Dien Bien province. The main compoments of Trung Thu Hydropower Plant include a reservoir on Nam Muc river with area of 290.2ha and retaining capacity of 30.7 million m3; the headworks include concrete gravity dam with length of 252 m and width of 45m and spillway of 45m; right energetic route including water collecting gate, penstock route of 25m, the hydropower plant with capacity of 30 MW. An open distributing station with area of 26X43m is intended to be placed on level of 238,5 m towards upstream of the plant. Location for the plant shall be selected convinient for both construction and management & operation. 3. This resettlement plan is prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan. Area of Impact

4. Construction of Trung Thu Hydropower Plant will acquire 2,900,000m2 of land from 157 households and 5 communes who are impacted. This area includes 2,705,610 m2 of public land from these 5 communes and 194,390m2 of residential land from 157 households. There is no impact to architecture objects and structures, household auxiliary facilities, except for a hydrometeorological station and a bridge which might be insignificantly impacted by the plant. Socio-economic Characters

5. A social-economic investigation and survey in the area and households affected by the works was carried out in June and July, 2014 over 100% of households (157 HH). Main income of almost the HHs (153 HHs or 97.4%) is depended on agriculture production, however, such production is still in mode of self-production –self supply. Therefore, the household income is rather low (154 HHs have their income below VND1,000,000/month), and poor HH rate is rather high (101 out of 157 surveyed HHs are poor). 6. Under government programs of 134, 135, 30A, etc. on poverty eradication and poor reduction through development of rural infrastructure, social services and education, there have been a lot of investments in agriculture as well as in infrastructure for the use of HHs that significantly improve the infrastructure in the area in recent years and local people in the project area have been supplied electricity from national grid for daily life and audio and video devices etc.

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Information dissemination and public consultation

7. A lot of public consultation meetings, discussions with relevant stakeholders, especially local governmental authority and affected people were held in June 2014 to disseminate to them sufficient information relating to the project and its activities from preparation to operation stages, compensation and assistance policy, implementation plan, recording the people’s opinions or claim all of which have been base for this resettlement plan preparation. 8. Public consultation meetings have been organized in 6 communes from 2 affected districts with total 77 participants including local officers, heads of hamlets and affected households. 9. Important information indicated in the Resettlement Plan (RP) shall be publicly provided to the affected HHs through organizing public meeting during the next stage of the works, project information dissemination and public consultation meeting with the local governmental authority and community shall be held regularly at every important stage or at necessary point of time. Legal Framework and Entilement

10. Trung Thu Hydropower Plant is under Renewable Energy Development Project, therefore, compensation, assistance and resettlement plan for this is prepared basing on principles defined in Resettlement Framework agreed between Ministry of Industrial and Trade (MOIT) and World Bank (WB) in 2008 for Renewable Energy Development Project. Policies to be applied in implementation of compensation, assistance and resettlement include (i) involuntary resettlement policy by WB. (ii) the current policies on compensation, assistance and resettlement by Vietnam Government; and (iii) regulations on compensation, assistance and resettlement by the project province (Dien Bien). 11. One of the key objects of the project is replacement and compensation for the lost properties basing on replacement cost. Compensation implementation and providing alternative assistant forms to the affected people before they move out of their houses, land and properties under condition that their living conditions are restored at least as the same as that before the project, and the poor, the prone affected people including affected people in vulnerable group (e.g, HHs head with disability, poor HHs, ethnic minority HHs, etc.) shall be assisted to increase their socio-economic situation.

Instituational Arrangement and Implementation Plan

12. Construction project shall be in 2.5 year (2014-2016) including last 6 months of 2014 for preparation and construction commencement is expected to be in January 2015 and completed in December 2016. 13. Trung Thu Hydropower JSC is responsible for all project implementation components, including preparing and implementing RP as well as monitoring, evaluating this RP. Being as a project implementation agency, Trung Thu Hydropower JSC will have following main responsibilities: (i) updating and implementing RP in coordination with related people’s committees at levels and provincial and district Compensation, Assistance and Resettlement Board (CARB) and submitting to MOIT and WB for approval; (ii) ensuring government capital available for implementation of RP and availability and sufficiency of funds for resettlement (money for compensation and other assistances).

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Grievance Redressal Mechanism

14. Grievance redressal mechanism in this RP has been built basing on Vietnam law of disputes, which had been consulted with local authorities and communities in consideration of specific cultural features and traditional cultural institution of the project area people.

Monitoring and Evaluation

15. Trung Thu Hydropower JSC shall provide services of an independent internal monitoring agency. Therefore, Trung Thu Hydropower JSC shall collect and record entire site documents, including database on affected HH and submit quarterly report to the project management unit (MOIT) and WB. 16. External monitoring agency (EMA) shall be experienced resettlement and social development specialist who will implement such monitoring and is selected by PMU (MOIT). Independent, monitoring, inspecting and evaluation shall be conducted periodically on annual basic, except for the first stage semi-annual may be required. Report prepared by EMA shall be placed in project site office and commune people’s committee and posted on the website page of WB. 17. Internal and external independent monitoring system shall be set up including professional experts who have qualification and experienced in the field of resettlement, community development and ethnic minorities, in which, Trung Thu Hydropower JSC shall be responsible for internal monitoring; monthly and quarterly monitoring reports shall be submitted to PMU and WB. The EMA shall be selected for implementing independent monitoring and independent evaluation, which shall be made on annual basic, except for the first stage semi-annual may be required.

Budget and Disbursement Plan

18. Total estimated cost for compensation and assistance against impacts caused by construction of Trung Thu Hydropower Plant is VND 15,349,312,320 (equal to USD 730,919.6). Implementation cost shall be paid by Trung Thu Hydropower JSC.

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I. GENERAL INTRODUCTION

A. Overview of Renewable Energy Development Project

19. The objective of the Renewable Energy Development Project (REDP) is to assist in developing renewable energy sources to supply least-cost electricity to the national electric grid on a commercially sustainable basis in an environmentally and socially sustainable manner. The project includes three components: (1) investment project implementation component, (2) capacity building component, and (3) information channel development component.

20. The investment project implementation component includes (i) participation of commercial banks to borrow for providing credit to eligible renewable energy projects of capacity of not more than 30MW to be invested by the private investors, and (ii) a technical assistance for capacity building for the participated banks and the sub-project private investor in project preparation, appraisal, financing and implementation of renewable energy projects in compliance with international practices. This component shall be collaborated by Rural Electric and Renewable Engery Project Management Unit (PMU) under MOIT. This component consist of two following sub-components:

• Providing credit for investment assistance in renewable energy: Private investors shall

construct sub-projects of small scale hydropower, wind-to-energy and mass solid waste-to-energy plants with capacity of not more than 30MW in compliance with Renewable Energy Development Project criteria including environmental and social safeguards. The investors commit to contribute their equity of at least 20% of total investment cost of a sub-project and the other 80% shall be borrowed from participated commercial banks.

• Eligible loans shall be refinanced up to 80% of the loan value to the participated banks or 64% of total investment cost of the subproject. This means the participated banks shall have to commit to lend at least 16% of total investment cost for each subproject from their funding source and the investors shall contribute 20% of total investment cost as their equity. Upon the approval of request for credit, the participated bank shall receive a reborrowed sum from REDP (WB) via Ministry of Finance (MOF). Such a reborrowed sum from REDP shall be financed by WB to MOF under conditions defined by the WB.

• It is expected that there are about 20-25 sub-projects to be assisted via reborrowing mechanism. When they come into operation, total capacity of these subprojects is expected 210MW and supply about 880GWh of annual electric output.

• Techincal assistance for implementation of investment projects: the technical assistance (TA) under component 1 shall assist in general management to REDP project, reviewing eligibility of the reborrowed sums and capacity building for participated banks, investors and other stakeholders. This TA shall be managed by PMU. TA shall concentrate on guiding sub-project investors to obtain necessary skills to identify viable sub-projects and prepare proposals for the bank loan through loan processing and negotiation.

• In addition, the TA shall also concentrate on training preparation of viable studies, utilising design, construction management, operation, maintenance, financial risk management and considering social and environmental safeguard. The participated banks shall be assisted in

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capacity building, understanding about risks, as it might be, from investment in REDP, supervising projects to ensure safeguards, building up credited policies and reviewing sub-project in compliance with these policies. The TA shall also assist PMU in management of REDP.

B. Trung Thu Hydropower Plant

1. Legal Base

21. The Trung Thu Hydropower Investment and Construction Project is one of the specific projects followed ”provincial electric grid development plan” to 2015. Since 2007, Energy Technology Development JSC (BBT) has issued an official letter No. 40CV/BTT-ENTECH.JSC dated 8 October 2007 to Dien Bien PPC on proposing to prepare cascading hydropower scheme investment planning on Nam Muc river in trung Thu commune, Tua Chua district. 22. Dien Bien provincial Industrial Department issued an official letter No. 228/SCN-QLĐ dated 16 October, 2007 on asking permission to study, survey for investment in Trung Thu Hydropower Plant construction on Nam Muc river in trung Thu commune, Tua Chua district. 23. Dien Bien PPC issed an official letter No. 1084/UBND-CN dated 19 November 2007 on giving permission to conduct a study, survey for investment in Trung Thu Hydropower Plant construction on Nam Muc river in trung Thu commune, Tua Chua district. 24. Investment report for Trung Thu Hydropower Plant prepared by Electrtric Consultancy Company No.1 in September 2007 and site visit and survey were conducted in January 2008. 25. Economic contract No.02/08 dated 15 May 2008 between Trung Thu Hydropower JSC and Vietnam Energy Development Consultancy JSC on tophographic, geographic, hydrologic surveys, inventory of loss and damage evaluation and master plan for resettlement for investment project preparation. 26. Investment report for Trung Thu Hydropower Plant prepared and revised by Electrtric Consultancy Company No.1 in 2013 and site survey conducted in December, 2013 has been implementing adjustment, admendment on inventory of loss.

2. Characteristics of the plant

27. Trung Thu hydropower plant exploits energy from water flow from Na Uc river. Its headworks is located near Nam Uc confluence with Da river in area of Pa Ham commune, Muong Cha district and Trung Thu commune, Tua Chua district, Dien Bien province, about 3km away from old NH6 ( Tuan Giao - Lai Chau direction, about 14km away from confluence of Nam Uc with Da rivers and about 12km from Nam Uc hydropower plant towards the river upstream. 28. Main components of Trung Thu Hydropower Plant include reservoir on Nam Uc river with area of 290.2ha, retaining capacity of 30.7 million m3; the headworks including concrete gravity dam with length of 252 m and height of 45m and spillway of 45m; right bank energetic route including water collecting gate, penstock route of 58m, the hydropower plant with capacity of 30 MW. Open distributing station with area of 16x25 m is intended to be placed on level of 243 m to upstream of the plant. Location for the plant shall be selected convinient for both construction and management & operation. 29. Auxiliary facilities are divided into 2 areas of headworks and facilities. Camp, office, producing base, parking area, waste area, storing area are arranged. Power is supplied from source of 35kV from national grid in Trung Thu commune. Water for daily activities is planned to be supplied

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from drilling well and water for production from Nam Uc river. Land area to be temporary occupied is 42.9 ha. 30. Construction of reservoir mainly relates to clearance of reservoir foundation (biomass, cemical substances, explosives etc.) before retaining water. 31. Construction of headworks relates to excavating and back filling of soil and stone, concrete work, slope improvement. Construction of energy route, apart from excavation and filling work, concrete work, slope improvement, it relates to installation of hydraulic-electric equipment and electric equipment at water intake.

Table-I-1 Work items and key parameters of Trung Thu Hydropower Plant

No. Parameter Unit Quantity

I Reservoir 1 Catchment area Flv km2 2759 2 Average flow for many years Qo m3/s 86.8 3 Total average flow for many years 109 m3 2.63 4 Flow module (Mo) l/s-km2 31.1 5 Design flood discharge Q 1% m3/s 4755 6 Monitoring flood discharge Q 0.2% m3/s 7673 7 Monitoring flood water level (MNLKT) (flood 0,2%) m 250.0 8 Design flood water level (MNLTK) (flood 1.0%) m 243.4 9 Normal Water level (MNDBT) m 240.0

10 Dead water level (MNC) m 239.0 11 Gross storage capacity Wtb 106 m3 30.7 12 Useful capacity Whi 106 m3 2.73 13 Un-used capacity Wc 106 m3 27,97 14 Reservoir surface area at normal Water level Km2 2.881 II Weir dam 1 Type Gravity load concrete 2 Top weir elevation m 252,00 3 Width of top weir m 5,5 4 Upstream slope 0.1 5 Downstream slope 0.65 6 Max height m 45 7 Crest Length m 30.0

III Spillway 1 Type Ophixerop 2 Arch valve n x B x H m 3x12x14.5 3 Spillway crest elevation m 225.5 4 Energy consumption mode Bottom 5 Design flood discharge of upper station (P=0.1%) m3/s 7856.6 6 Max Design flood discharge (P=0.2%) m3/s 7068.0 7 Max Design flood discharge (P=1%) m3/s 4505.9

IV Sand discharge culvert 1 Top elevation m 252,00 2 Crest elevation m 209.0 3 Water flow dimension m 5x6 4 Length m 50 5 Operational valve m 5x6 6 Repair valve m 5x6

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No. Parameter Unit Quantity

7 Max discharge flow m3/s 200.5 V Enegetic route

V.1 Water intake 1 Width m 26.0 2 Length m 12.0 3 Crest elevation m 229.0 4 Traskrack cage nxBxH 4x4.5mx10m 5 Operational valve 4x4.1mx7.0m 6 Length m 12

V.2 Tunnel 1 Dimension nxBxH m 4x4.1x4.5m 2 Length m 25 3 Falling gradient Độ 530

V.3 Plant 1 Qmax m3/s 145.56 2 Hmax m 29.7 3 Htt m 23.0 4 Hmin m 16.9 5 Nlm MW 30 6 Ndb MW 4.3 7 No. of turbine Tổ 02 8 Type of turbine - Kaplan 9 No. of hours using machine installed capacity h 4135

10 Machine installed elevation m 205.3 11 Platform elevation of generator m 216.0 12 Floor elevation of machine installed compartment m 229.5 13 Floor elevation against flood m 243.0 14 Min downstream water level m 210.3 V.4 Out fall channel downstream of Plant 1 Length of central line m 50 2 Bottom width m 19.0 3 Bottom level m 196,0-208.5

V.5 Out-door electric supply station m 16x35 1 Typr of station Normal

VII Quantity of main works VII.1 Excavation of all types

1 Open excavation 103m3 436.90 2 Earth excavation 103m3 102.60 3 Rock excavation 103m3 334.24

VII.2 Filling 103m3 34.45 VII.3 Concreting

1 Open concrete 103m3 82.68 VII.4 Reinforcement steel bars Tấn 2590.0 VII.5 Drilling and Jet grouting (Sprayed concrete)

1 Drilling and atomizing for base strengthening 103md 1.2 2 Shotcrete 103m2 21.78 3 Steel anchor (25) 103T 0,03

VIII Annual average Output power E0 106kWh 124,12

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32. Trung Thu Hydropower Plant shall generate electricity basing on the basic flow through the tunnel generic route of the plant and the difference in height of the topographic water column. During flood season, when daily average flow is higher than design flow, the plant shall operate at its max capacity (29.6 MW), the redundant water volume shall be freely flow over the spillway to downstream. During the normal days, the reservoir retains high water level for electricity generation, and when there is a water need from downstream and if it goes against regulations definded in this document, such need must be proposed to Ministry of Agriculture and rural Development (MARD) for review and make decision.

C. Objectives of Resettlement Plan

33. According to guidelines under OP4.12 by the World Bank (WB) on involuntary resettlement, for any project, a resettlement plan must be prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan. 34. The displaced people must be supported in terms of their capacity to improve their living conditions and to rehabilitate their living standards higher than or at least equal to that before constructing the subproject.

D. Measures to be taken for mitigating impacts caused by the works

35. In order to avoid involuntary resettlement or to minimine impacts caused by the works, there are three alternatives of alignment proposed during survey and study for construction of Trung Thu Hydropower Plant. After carefully analysis of economic efficiency in which analysis and comparison of impact area of these three alternatives is combined, alternative 3-dam 1A was highly agreed and selected for construction of the plant. With this alternative, geological structure is good, moving the plant to the left, reduce the construction volume, construction time, to ensure the stabe of work, impact scale shall not be significant to communities who are living in the project area. This alternative does not affect significantly to the local people’s lives and production and especially none of the households is subjected to displace as a result of land acquisition for the hydropower plant construction. In other alternatives have more impact, more occupying area and in particular will require a number of relocated household (see detail of impact for each alternative at the table I-2 below:

Table I-2 Alignment alternatives in design to minimize impacts caused by land acquisition

No. Dam alignment alternatives

Descriptions Level of impact

1 Dam alignment alternative I and the plant

Alternative 1: Dam alignment I and the plant locate on Nam Uc river, section following southwest-northeast direction.

Total affected area is about 3.180.000 m2 (including 2.950.000 m2 public land, 230.000 m2 productive land of households). Total affected household is 230 HHs.

6

No. Dam alignment alternatives

Descriptions Level of impact

Total relocated household is 18 HHs

2 Dam alignment alternative II and the plant

Alternative 2: Dam alignment I and the plant locate on Nam Uc river, section following southwest-northeast direction, 800m from Alternative I toward river downstream.

Total affected area is about 3.300.000 m2 (including 3.000.000 m2 public land, 300.000 m2 productive land of households). Total affected household is 250 HHs. Total relocated household is 25 HHs

3 Dam alignment alternative IA and the plant

Alternative 3: Dam alignment I and the plant locate on Nam Uc river, section following southwest-northeast direction, 600m from Alternative I toward river downstream and 200m from Alternative II toward river upstream.

Total affected area is about 2.900.000 m2 (including 2.705.610 m2 public land, 194.390 m2 productive land of households). Total affected household is 157 HHs. There is no relocated HH.

36. In addition, Trung Thu Hydropower JSC and the local governmental authority shall be surely responsible for land acquisition, affected properties, payment for compensation, assistance to the affected HHs, except for activities for long-term development, and have to complete this before issuance of Notice To Proceed (NTP) for hydropower plant construction commencement.

7

II. IMPACT AREA OF TRUNG THU HYDROPOWER PLANT

37. Measures to minimize permanent affected land area have been studied by the investor of Trung Thu Hydropower Plant and the calculation is presented in Chapter I in view of considering and selecting the most optimal alternatives. Moreover, many other mitigation measures such as no earth grading for widening the existing road have been proposed; when new road for the plant operation, earth grading can only be done with enough width for movement of vehicles and close monitoring is carried out to control land sliding onto both road sides to minimize affected area; Lowering retention water level to reduce flooded area. Work components are constructed far away from community areas and HH’s caltivated areas. Aslo road for transportation of materials and borrow pits shall be arranged not in community area (explosive storing is arranged along the cannel, sand and construction materials are gathered in a blank yard under management of the commune etc.) to avoid land acquisition for this and impact to local community life. 38. Although mitigation measures have been taken into account, certain permanent land acquisition for Trung Thu Hydorpower Plant is unavoidable. According to result from inventory of loss, about 2,900,000m2 of land is permanently acquired (detailed information on area of land types and number of affected HHs of each commune is presented in the next section). Further more, during construction of the plant, some other land areas shall be temporarily affected due to construction activities of the contractor, such temporary affected areas shall be updated in details during implemantation process.

A. Land Impacts

39. During the process of inventory of loss (IOL) in June and July 2014, total of 2,900,000m2 of acquired land from 157 households and 5 communes are impacted. In which, 466,300m2 (16.07%) is acquired for construction site of Trung Thu Hydropower Plant and 2,433,700m2 (83.93%) is acquired for reservoir. Table II-1 below provides detailed information on affected HH and acquired land area upon work items. (List of affected HHs is attached in Appendix 1).

Table II-1 Affected land area and number of affected HHs upon each work item

No

.

District/c

ommune

Tota

l

affe

cted

HHs

Total

affected

area

Land area acquired for

construction site Land acquired for reservoir

Total

land

area

acquire

d for

constru

ction

site

HHs

affecte

d by

land

perma

nently

acquire

d

Public

land

Total

land

acquired

for

reservoi

r

HHs

affecte

d by

land

perma

nently

acquire

d

Affected

public

land

I Tua Chua

district 15 974.548

131.94

8 - 131.948 842.600 62.209 780.391

1 Trung Thu 11 286.148 131.94 - 131.948 154.200 47.704 106.496

8

No

.

District/c

ommune

Tota

l

affe

cted

HHs

Total

affected

area

Land area acquired for

construction site Land acquired for reservoir

Total

land

area

acquire

d for

constru

ction

site

HHs

affecte

d by

land

perma

nently

acquire

d

Public

land

Total

land

acquired

for

reservoi

r

HHs

affecte

d by

land

perma

nently

acquire

d

Affected

public

land

8

2 Sinh Phinh 4 178.300 - - - 178.300 14.505 163.795

3 Muong Bang

- 510.100 - - - 510.100 - 510.100

II

Muong

Cha

district

142 1.925.45

2

334.35

2 82.952 251.400

1.591.10

0 49.229 1.541.871

1 Nam Nen 40 13.784 - - - 13.784 13.784 -

2 Sa Tong - 299.200 193.20

0 193.200 106.000

106.000

3 Pa Ham 102 1.612.46

8 141.15

2 82.952 58.200

1.471.316

35.445 1.435.871

Total 157

2.900.00

0

466.30

0 82.952 383.348

2.433.70

0

111.43

8 2.322.262

40. Total land of 2,900,000 m2 is affected by the construction of Trung Thu Hydropower Plant in which 194,390 m2 (or 6.7%) is annual cultivated land of 157 HHs, 2,705,610 m2 (or 93.3%) is public land including special use land, land of river and stream under management of 5 commune people’s commities in 2 districts of Muong Cha and Tua Chua. Table II-2 provides detailed information on plant affected land.

Table II-2 Allocation of plant affected land (m2)

No. Type of affected land Total area of

affected land

Total HH’s

afftect land

Total affected

public land

1 Residential land - - -

2 Special use land 2.000 - 2.000

3 Natural land of river & stream 2.703.610 - 2.703.610

4 Non-agriculture land - - -

5 Annual cultivated land 194.390 194.390 -

9

No. Type of affected land Total area of

affected land

Total HH’s

afftect land

Total affected

public land

6 Land for perennial plants - - -

7 Aquaculture land - - -

Total 2.900.000 194.390 2.705.610

41. According to results from inventory of loss, total area of 194,390 m2 acquired from 157 affected HHs is subject to Annual cultivated land and none of the HHs has other kind of land to be affected. Within this area most of it (111,438 m2 (57.32%)) is acquired for the reservoir, then 69,371 m2 (35.68%) for building operational road, 12,523 m2 (6.44%) for the plant and 1,058 m2 (0.56%) for other connecting items (see Table II-3 for detailed).

Table II-3 Classification of acquired land from affected HHs interms of the project work items (m2)

Work item Total

affected land area

Residential land

Annual cultivated

land

Land for perennial

plants

Aquaculture land

Forest land

Connecting items 1.058 - 1.058 - - -

Plant 12.523 - 12.523 - - -

Operational road 69.371 - 69.371 - - -

Reservoir 111.438 - 111.438 - - -

Total 194.390 - 194.390 - - -

42. For affected land area of affected HHs, since preparation period of RP the actual figure of 109,753.1 m2 of 67 affected HHs had been acquired. In which 35,739.7 m2 was acquired for construction of management house and workers’ camp with auxialy facilities, 73,424.5 m2 was acquired for construction of operational and plant access road, and 408.9 m2 was acquired for construction of connection area. The rest area that needs to be acquired from HHs is 84,816.9 m2. Information relating to compensation and assistance for those affected HHs shall be discussed in details in Chapter VI. Table II-4 below is providing information on acquired area of land for works components under the project.

Table II-4 Number of affected HHs and acquired area of land

No. Works items for Construction Total acquired land area (m2)

Total affected HHs (household)

1 Plant and and workers’ camp with auxialy facilities

35.739,7 18

2 Operational and plant access road 73.424,5 59

3 Area for connection 408,9 4

Total 109.753,1 67*

*Note: A household can be acquired land for several works items so the actual number of HHs would

10

be smaller

43. Regarding to issues of land poccession and due to land management condition of the local authorities and habits of the ethnic minorities in general, and HHs in the affected area in particular, normally the HHs do not own land use right certificates (LURC) although actually they are totally legal owners. Similar to the plant affected HHs, 100% of these HHs (123 male headed and 34 female headed HHs) have not got land use right certificates but they have enough elegible legal documents which are recognized by the laws. Table II-5 describes in details of land possession of the affected HHs.

Table II-5 Existing land possession status of the affected HHs

Type of land

Male headed HHs Female headed HHs

Total

With land use

Right certificat

e (LURC)

Without

LURC but

eligible to

LURC

Not eligibl

e to

LURC

Lease

With land use

Right certificat

e (LURC)

Without

LURC but

eligible to

LURC

Not eligibl

e to

LURC

Lease

Residential land - - - - - - - - -

Annual crop land - 123 - - - 34 - - 157

Land for perennial plants

- - - - - - - - -

Forestry land - - - - - - - - -

Aquaculture land - - - - - - - - -

Total - 123 - - - 34 - - 157

B. Impacts on Crops and Trees

44. According to result of IOL there are 194,390 m2 of annual crop land of 157 HHs which will be affected by construction of the plant (refer to Table II-6 for details). Out of this area, 156,579 m2 of paddy land (of 149 HHs) and 37,811 m2 of maise cultivating land (of 8 HHs) shall be affected. Under construction progress in the project area, there shall be close cooperation with the affected HHs so that they can harvest their crops prior to recovery of the land for the project. In case of standing annual crop, compensation shall be paid at market price.

Table II-6 Area of annual crop land to be affected

No. District/

commune Paddy Maize Total

I Tua Chua

district

HHs 10 5 15 Area 32.005 30.204 62.209

1 Trung Thu HHs 7 4 11 Area 25.283 22.421 47.704

11

No. District/

commune Paddy Maize Total

2 Sinh Phinh HHs 3 1 4 Area 6.722 7.783 14.505

II Muong Cha

district

HHs 139 3 142 Area 124.574 7.607 132.181

1 Nam Nen HHs 40 - 40 Area 13.784

13.784

2 Pa Ham HHs 99 3 102 Area 110.790 7.607 118.397

Total

HHs 149 8 157

Area (m2) 156.579 37.811 194.390

C. Impacts on Structures

45. As stated in previous section, Trung Thu Hydropower Plant acquires only annual crop land of HHs, so the plant construction will not cause impacts on HHs’ structures.

D. Impacts on Livelihoods and Income

46. Implementation of acquisition of HHs’ land, especially agriculture production land, shall cause unavoidable impacts on livelihoods and incomes of the HHs. As these impacts are foreseeable, construction alternative of Trung Thu Hydropower Plant has been carefully calculated to avoid and minimize HHs’ land area to be acquired. Therefore, only few HHs are affected at level of more than 10% and most of them are affected at level of below 10% of their total production land. As detailed as below:

47. Out of 157 affected HHs due to implementation of land acquisition for plant construction, 154 HHs (98.08%) lose less than 10% of total existing production land and 3 HHs (1.92%) lose from 10% to 30% of total existing production land (such losses accounted for 11.1%; 11.7%; and 12.0%) and there is no HH to be lost more than 30% of total production land. For the three HHs who lost more than 10%, survey results show that such land acquisition does not cause significant impact on their means of production because their remaining land still meet their productive requirements and incomes (the remaining land of these HHs are 24,869 m2; 34,510 m2; and 86,215 m2 respectively). Table II-7 provides information about level of impact of affected communes.

Table II-7 Level of impact on production land

No. District/ commune <=10% >10% -< 30% 30% - 70% >70% Tổng

I Tua Chua district 14 1 - - 15

1 Trung Thu 10 1 - - 11

2 Sính Phình 4 - - - 4

3 Muong Bang - - - - -

II Muong Cha

district 140 2

- - 142

12

No. District/ commune <=10% >10% -< 30% 30% - 70% >70% Tổng

1 Nam Nen 40 - - - 40

2 Sa Tong - - - - -

3 Pa Ham 100 2 - - 102

Total 154 3 - - 157

48. In addition, land acquisition for the plant construction shall permanently impact on pasture (for goat and buffaloes) (as in Table II-2 Natural land of rivers and streams) of the HHs in 4 hamlets of Pa Ham commune and some activities of Lang fishing in the rivershall be impacted due to dam construction for water retaining for energy. Mitigation measures and restoration have been discussed at the public consultation meetings with local authorities and the affected HHs. Content of concrete measures shall be further described in Chapter VI, or Ethnic Minority Development Plan (EMDP) for reference.

E. Impact on Vulnerable Groups

49. The IOL had identified all 157 affected households as ethnic minority, in which 101 HHs are classified as the poor HHs and two of them are female headed HHs and two are disable headed HHs. These HHs shall be further assisted in compliance with the project guidelines and more details shall be described in the next chapter. See Table II-8 lebow for details.

Table II-8 Information on Vulverable Groups

No. District/

commune Total Affected HHs

Total

No. of

HH’s

heads

Poor HHs

Ethnic HHs

I Tua Chua district 15 88 11 15

1 Trung Thu 11 66 9 11

2 Sính Phình 4 22 2 4

II Muong Cha

district 142 722 99

142

1 Nam Nen 40 208 40 40 2 Pa Ham 102 514 59 102

Total 157 810 110 157

F. Impacts on Community Assets

50. The IOL had identified about 2,705,610 m2 of public land in 5 communes to be affected, a hydrographic station of Dien Bien provincial Meteorological & Hydrographic Center and Nam Nen bridge are also affected. However, levels of impact on these two structures are not significant. The impact is that access road of the hydrographic station may be affected when water is retained in the reservoir with water level up to peak of abutment slope protection of the Nam Nen bridge ends and it might be affected due to high volumn of water flowing through. Trung Thu Hydropower JSC shall

13

apply measures to protect and strengthen to delete these impacts. Table II-9 below describes details of community assets to be affected.

Table II-9 Information on community assets to be affected

Commune Affected

assets Owner

Work

item Unit Quantity

1. Trung Thu commune

Commune People’s committee (CPC) land

Commune People’s committee

Reservoir foundation

m2 238.444

2. Sinh Phinh commune

People’s committee land


Reservoir foundation m2 163.795

3. Muong Bang commune




4. Nam Nen commune



Reservoir foundation m2 -

Nam Nen bridge Nậm Nèn bridge

Road Company No.1


bridge 1

Hydrographic station

Hydrographic station

Dien Bien provincial Meteorological & Hydrographic Center


station 1

5. Sa Tong commune




6. Pa Ham commune



Reservoir foundation m2

1.494.071

Total 2.705.610

G. Summary of Impacts

51. Table II-10 below summarises impacts and other social impacts due to land acquisition for construction of Trung Thu Hydropower Plant.

Table II-10 Summary of impacts caused by the plant construction

Work Items Unit Total Affected HHs/ CPC

Land

No-agriculture land

Residential land m2 0 0

Special use land m2 2.000 1 CPC

Natural river & stream, surface m2 2.705.610 5 CPC

14

Work Items Unit Total Affected HHs/ CPC

water for special purpose

agriculture land

Annual crop land m2 194,390 157 HHs

Perenial tree land m2 0 0

Forestry land m2 0 0

Total affected land

157 HHs/ 5 CPC

Structures

House, auxiliary facilities, secondary structures

0 0

Trees and crops

Annual crop m2 194.390 157

Perennial Tree m2 0 0

Timer Tree m2 0 0

Public facility

Commune land m2 2.705.610 5 CPC

Nam Nen bridge bridge 1 Road Co. No. 1

Hydrographic station station 1

Dien Bien

provincial

Meteorological &

Hydrographic

Center

Total Number of Affected Households

Total of affected households HH

157

relocating households

0

Affected HHs with > 10% production land affected

Hộ

3

Vulnerable households

Women headed household Hộ

2

Household head with disability Hộ

2

Poor household Hộ

101

Ethnic minority household Hộ

157

Elderly household heads Hộ

0

15

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY

A. General socio-economic characteristics in project area

52. As stated in Chapter I above, Trung Thu Hydropower Plant shall impact on 6 communes in two districts of Muong Cha and Tua Chua, Dien Bien province. Implementation of socio-economic survey and inestigation were carried out in June and July 2014. During the investigation, many meetings with group discussions, deep interview with affected district/commune leaders and representatives were taken place for collecting information on socio-economic conditions and specifically collection of view points, opinions on land acquisition and income restoration for affected HHs. Sections below shall describe in details of investigation results conducted in 2 districts of Muong Cha and Tua Chua. 53. Muong Cha is a mountainous district, locates at border with natural area of 119,942.42 ha, 11 communes and 1 town (11 over 12 communes and town are classified as special difficult under 135 program) after adjustment of administration boundery under decision No.45/NĐ-CP. Three of the communes lies along border with Laos with total border length of 19.4km;

54. The district population is 41,136 people including 38,092 ethnic people (accounted for 92.6%) in 21 ethnic groups. Particularly, 27,355 people of Hmong ethnic group accounted for 66.50%; 6,569 of Thai group, accounted for 15.97 %; 3,043 people of Kinh group, accounted for 7.40%; 2,547 people of Kho Mu group, accounted for 6.19 %; and the rest are Khang, Hoa, Muong, Tho, Dao, Sila, Mang, San Diu etc. groups. Each ethnic group has its own tradition, custom, language and culture features, however, all are united to overcome difficulties to increase production, maintain and promote ethnic culture character; rate of poverty and poor is high and different from area to area. In some communes, this rate is accounted for 70%, a number of people do not have sufficient food and neither houses, electricity supply, safe water. 55. Tua Chua is a mountainous remote district to the northeast of Dien Bien province, 126km away from the Dien Bien center city. It is adjacient to Sin Ho (Lai Chau province) to its north, Quynh Nhai district (Son La province) to its east, Tuan Giao district to its south, Muong Cha district and Muong Lay town to its west. In mountainous topography, it has Na Tung Mount 1,585 m high in the southeast, Phinh Ho mount 1,585m high in the northwest and calcareous rock highland of Xin Chai. Da river runs on the district boundary to its east and north, Nam Uc river runs on the district boundary to its west before coming into Da river in the Lao Cai commune, west of the district. Total natural area is 68,526.45 ha including 17,706.48 ha agriculture land; 49,087.08 ha forestry land and 31.35ha unused land. 56. Total district population is 45,660 people with 7,798 households. There are 7 ethnic minority groups in the district, including Mong (3,.178 people, accounted for 67.28%), Thai (8,081 people, accounted for 17.7%), Dao (2,315 people, accounted for 5.07%), Kinh (2,428 people, accounted for 5.32%, Hoa (1,217 people, accounted for 2.67%) and others like Kho Mu, Phù Lá ... (901 people, accounted for 1.97%).

57. Avergare socio-economic growth rate is 18.28%, average income/head is VND3.4 million/year, district revenue in 2008 was VND 3,115.10 billion, weight ratio amongst agriculture –

16

industry – trading and services is 59.65% - 21.15% - 19.21% correspondingly. Number of people at working age in Tua Chua district is 22,830 people, accounted for 50% total district population, mainly working in agriculture – forestry areas. Number of trained people accounts for 15% total district population, mainly living in town area and working in offices.

58. Infrastructure and social services, via government’s programs of 134, 135, 30A etc. on poverty eradication and poor allevimation have been funds for investment in development of agriculture production and construction of infrastructure for the ethnic HHs, so far infrastructure have been improved significantly in recent years, ethnic people in the project area have used national electricity and been able to listen to radio etc.

B. Socio-economic characteristics of affected households

59. Within 6 affected communes, 2 of them have their only public land affected by the Trung Thu Hydropower Plant and none of affected HHs including Muong Bang commune in Tua Chua district and Sa Tong commune in Muong Cha district. According to IOL, all 157 affected HHs are ethnic minorities, so socio-economic survey has been done on 100% of the HHs. The result shows that 15 HHs (9.55%) in two communes of Trung Thu and Sinh Phinh in Tua Chua district, and 142 HHs (90.45%) in communes of Nam Nen and Pa Ham in Muong Cha district. Table III-1 presents number of HHs who were investigated and ethnic minority group in project area communes.

Table III-1 Enthnic Minority Affected HHs under socio-economic investigation

No. District/commune

No. of

affected

HHs

No. of HHs

invested

Rate of socio-

econ.

investigation

No. of

ethnic

affected

HHs

Ethnic

group

I Tua Chua district 15 15 100% 15

1 Trung Thu 11 11 100% 11 H'Mông

2 Sinh Phinh 4 4 100% 4 H'Mông

3 Muong Bang - - 0.0% -

II Muong Cha district 142 142 100% 142

1 Nam Nen 40 40 100% 40 Khang

2 Sa Tong - - 0.0% -

3 Pa Ham 102 102 100% 102 Thai

Total 157 157 100% 157

60. The results from Table III-2 below show that almost investigated HHs have limited education and this causes certain impact on the HHs’ lives, occupation and income. Out of 157 investigated HHs, 97 HHs (61.78 %) have never gone to school or have not finished primary school, 52 HHs (33.12%) have finished primary school, 7 HHs (4.45%) have finished secondary school and a single HH (0.65%) have finished high school.

17

Table III-2 Education level of HH heads investigated per affected commune

Education level Trung Thu Sinh Phinh Nam Nen Pa Ham

HH % HH % HH % HH %

Illiterate/not finished primary school

7 63,6% 2 50% 25 62,5% 63 61,7%

Finished primary school

2 18,2% 1 25 12 30% 37 36,3%

Finished secondary school

2 18,2% 1 25% 3 7,5% 1 1,0%

Finished high school 0 0,0% 0 0,0% 0 0,0% 1 1,0%

Vocational training 0 0,0% 0 0,0% 0 0,0% 0 0,0%

College/ University 0 0,0% 0 0,0% 0 0,0% 0 0,0%

Post graduate 0 0,0% 0 0,0% 0 0,0% 0 0,0%

Total 11 100% 4 100% 40 100% 102 100%

61. The ethnic minority HHs in the project area have main income from agriculture production. This can defines through actual investigation that 153 HHs (97.4%) out of 157 interviewed HHs have their main jobs in agriculture production and only 2 HHs (1.2%) have their income from working as workers. Table III-3 describes details of main income of ethnic people who are affected by the project.

Table III-3 Information on main income sources of investigated HHs

No. Main income Trung

Thu

Sính

Phình Nam Nen Pa Ham Total

1 Agriculture 9 4 40 100 153

2 Breeding - - - - -

3 Shop keeper - - - - -

4 Food services - - - - -

5 Workers 2 - - - 2

6 Officers - - - - -

7 Working in private sector - - - - -

8 Working in transportation - - - - -

9 Driver - - - - -

10 Getting support from Gov. - - - - -

11 Getting support from oversea

- - - 2 2

18

No. Main income Trung

Thu

Sính


12 Housewife job - - - - -

13 Pupils and students - - - - -

14 Others - - - - -

Total 11 4 40 102 157

62. Beside main agriculture production and doing farming, HHs also have sideline activities but these still in “self supply – self consumption” manner. Products are for the needs of families but not in form of goods or commodities so HHs income is very low. This is proved via investigation of 157 project affected ethnic minority HHs, 154 of them have average income of less than VND 1 million/month. Table III-4 below provides detailed information on average income of investigated HHs in the affected project communes.

Table III-4 Average income of the investigated HHs (VND mil)

No. District/commune Below

1 mil.

1 mil. to 1.4

mil.

1.5 mil. to 1.9

mil.

Above 2

mil. NA Total

I Tua Chua district 14 1 - - - 15

1 Trung Thu 10 1 - - - 11

2 Sinh Phinh 4 - - - - 4

II Muong Cha

district 140 - 1 - 1 142

1 Nam Nen 39 - 1 - - 40

2 Pa Ham 101 - - - 1 102

Total 154 1 1 - 1 157

63. Within total monthly income of HH, key expenditures are for food and daily living activities, which are accounted for 56.73% to 59.0%. The rest of 41% to 43.27% are for other purposes such as health care, education and others. Detailed as in Table III-5 below.

Table III-5 Monthly average expenditures of investigated HHs (VND Mil.)

No. Monthly expenditure Trung Thu Sinh Phinh Nam Nen Pa Ham

1 For food and daily living activities 742.424 462.500 528.333 461.520

2 Health care 166.667 222.222 154.762 129.274

3 Education 180.556 166.667 145.833 86.667

4 Others 166.667 - 157.407 135.965

Total 1.256.314 851.389 986.335 813.424

19

64. In general, the affected HHs normally spend all their monthly income as their income is so low as seen in table III-4 above as most of affected HHs have income of less than VND 1 mil./month while in table III-5 their expenditure is in between VND813,424 /month and VND1,256,314 /month. This indicates that their income and expenditure are not corresponding and even deficient. Basing on investigation result in Table III-6 below, it shows that only 48 HHs (30.57%) out of total 157 affected HH informed they do not have food sufficiency in recent 2 years and the rest informed that do not have food sufficiency for 1 to 2 months (39 HHs or 24.84%), or 2 to 3 months (48 HHs or 30.57%) and even longer than 3 months (22 HHs or 14.02%) in recent 2 years.

Table III-6 Number of HHs have deficient food sufficiency in recent 2 years

No. District/commune No

food

1 - 2

month

2 - 3

month

>3

month NA Total

I Tua Chua district 4 4 5 2 - 15

1 Trung Thu 1 4 4 2 - 11

2 Sinh Phinh 3 - 1 - - 4

II Muong Cha district 44 35 43 20 - 142

1 Nam Nen 7 7 16 10 - 40

2 Pa Ham 37 28 27 10 - 102

Total 48 39 48 22 - 157

65. Because the project affected area lies in high mountainous region, all 157 investigated HHs (100%) informed that their main water sources for daily living activities are from canyons.

Table III-7 Main water sources for investigated HH daily activities

Water sources Trung

Thu

Sính


Well - - - - -

Public/village well - - - - -

Safe water - - - - -

Public water taps - - - - -

River, stream, ponds and lakes - - - - -

Canyons 11 4 40 102 157

Rainy water - - - - -

Others - - - - -

Total 11 4 40 102 157

20

66. Regarding to HH’s sanitary accessories, most of the affected HHs (93.63% or 147 HHs) do not use toilet. Only 9 HHs (6.63%) informed that they have temporary toilets. Table III-8 describes details of toilet type being used by the affected HHs

Table III-8 Sanitary conditions

Sanitary conditions Trung

Thu

Sính

Phình

Muong

Bang

Nam

Nen

Sa

Tong Pa Ham Total

Toilet with Septic tank 1 - - - - - 1

Temporary toilets 1 1 - 2 - 5 9

one-compartment latrine - - - - - - -

Two-compartment latrine - - - - - - -

Public WC - - - - - - -

Without toilet 9 3 - 38 - 97 147 Total 11 4 - 40 - 102 157

67. Most of the affected HHs (94.90% or 149 HHs) need health care services from commune medical center for treatment of normal and not severe diseases. For HHs who have severe disease (7.64% or 12 HHs), treatment provided by hospital is needed. However, for private clinics most of the affected HHs (99.36% or 156 HHs) never has treatment services from them. Most of HHs (93 HHs or 59.23%) only go to local medicine shop to buy medicine for own treatment. Table III-9 Medicine services used by the project affected HHs.

Table III-9 Access to health care centers

No. District/commune Unit Health

care center

Hospital

HHs ever used

private clinic

service

HHs ever used

pharmacist service

HHs ever used local

medicine plant

Total

I Tua Chua district

HH 14 8 1 2 7 32

% 43,8% 25% 3,1% 6,3% 21,9% 100%

1 Trung Thu

HH 10 6 1 1 6 24

% 41,7% 25% 4,2% 4,2% 25% 100%

2 Sính Phình HH 4 2 - 1 1 8

% 50% 25% 0,0% 12,5% 12,5% 100%

II Muong Cha district

HH 135 4 - 91 6 236

% 57,2% 1,7% 0,0% 38,6% 2,5% 100%

1 Nam Nen HH 37 3 - 17 3 60

21

No. District/commune Unit Health

care center

Hospital

HHs ever used

private clinic

service

HHs ever used

pharmacist service

HHs ever used local

medicine plant

Total

% 61,7% 5,0% 0,0% 28,3% 5,0% 100%

2 Pa ham HH 98 1 - 74 3 176

% 55,7% 0,6% 0,0% 42,0% 1,7% 100%

Total

HH 149 12 1 93 13 268

% 55,6% 4,5% 0,4% 34,7% 4,9% 100%

68. National grid electricity is the main lighting source of families as reported by 100% of investigated HHs. There is none of these HHs using other energy source for lighting. Table III-10 below provides detailed information on every afftected commune basic.

Table III-10 Main energy sources for family lighting

Source for lighting Trung Thu Sinh Phinh Nam Nen Pa Ham Total

National grid 4 11 40 102 157

Generator - - - - -

Battery - - - - -

Kerosene lamp - - - - -

Coal/wood - - - - -

Total 4 11 40 102 157

69. In regards of energy for daily cooking, 100% of affected HHs (157 HHs) informed that they use wood/coal as main energy source and none of them uses other energy source for cooking. Table III-11 provides detailed information on using energy source for cooking of the affected HHs.

Table III-11 Main energy sources for cooking

No

.

District/commun

e

Nationa

l grid

Generato

r

Batter

y

Wood/coa

l

Gas/kesolen

e

no

us

e

other

s

I

Tua Chua district

- - - 15 - - -

1 Trung Thu - - - 11 - - -

22

No

.

District/commun

e

Nationa

l grid

Generato

r

Batter

y

Wood/coa

l

Gas/kesolen

e

no

us

e

other

s

2 Sinh Phinh - - - 4 - - -

II Mường Chà

district - - - 142 - - -

1 Nậm Nèn - - - 40 - - - 2 Pa Ham - - - 102 - - -

Total - - - 157 - - -

C. Gender, gender equality and ethnic minorities

70. From table III-12 below it shows that male/female rate in the project affected communes is not as high as in other ethnic minority regions. In three affected communes in Tua Chua district, the population is 17.464 people in which 9,159 people are female (52.44%) and 8,038 people are male (47.56%); and total population of 3 affected communes in Muong Cha district is 10,292 people in which 5.125 people are female (49.79%) and 5.167 people are male (50.21%). This result provides good signal regarding gender issues in ethnic community in the affected project area. It reflects that the ethnic people in the area do not bear in mind the old fashioned view point of valuing men above women or other similar view points of considering women unimportant. Or in conversion, some ethnic groups following matriarchy consider female are more important than male. 71. However, grade of participation in socio-economic activities, work assignment between men and women, access of each gender to resources and interests, view points within each ethnic group on standard value and dignity of the women and men are entirely originated from culture of the certain ethnic group. Therefore, this gender relation is very diversified and in many forms amongst communities. Even there are differences amongst ethnic groups, there is one clear issue of unequality existed inside ethnic communities, between women and men in the same ethnic group, between women from ethnic group to other ethnic group. Right to access assets, power and voice of ethnic women are different from ethnic men, and also language and culture barriers are main factors that make gender unequal in ethnic communities.

Table III-12 General information on gender rate in the affected commune

No. District/commune Population Rate (%)

Total Male Female Tổng Nam Nữ

I

Tua Chua district

17.464 8.038 9.159 1 Trung Thu 3.079 1.350 1.729 100,0 43,9 56,1 2 Sinh Phinh 5.419 2.642 2.777 100,0 48,8 51,2 3 Muong Bang 8.966 4.046 4.653 100,0 48,1 51,9

II Muong Cha district 10.292 5.167 5.125 1 Nam Nen 2.939 1.476 1.463 100,0 50,2 49,8

23

No. District/commune Population Rate (%)

Total Male Female Tổng Nam Nữ

2 Sa Tong 4.320 2.169 2.151 100,0 50,3 49,7 3 Pa Ham 3.033 1.522 1.511 100,0 50,2 49,8

Gender equality of ethnicity in education

72. Existing education status in the affected communes, number of female children (aged from 15– 17) go to school much lower than male children. Rate of ethnic school children giving up school education is high. It is because of pre-school education system is poor, not well prepared for children to make them able to speak Vietnamese to follow national common education program. For H’Mong group, child marriage practice is a barrier that makes them early leave school. Under difficult economic condition of the family, inspite of government policy on exemption of school fees, other costs for their study still is economic burden and so school girls have to leave school earlier to work and help family. Particularly, almost ethnic women (aged from 35) cannot read nor write or speak common Vietnamese language. Although in some communes, illiterature eradication training have been held for them, number of H’Mong women attended these training courses is very low. The question why they did not go to learn was put to them and the answer by most of them is about the same that they have to work and their husbands do not allow them to go. There is different rate of people who can write, read and speak common language between H’Mong people and Thai people in two districts of Tua Chua and Muong Cha where more Thai women can write and speak common language than H’Mong women.

Gender equity of Ethnic groups in medical treatment

73. In this report, there is a difference in level of medicine service access between enthic women who live in a vey high mountainous region and those who live in lower highland region where it is much more convenient for them to travel. H’Mong people have custom of giving birth home so H’Mong women rarely go to medical station or centers for periodic prenatal check-up and treatment during period of pregnant and birth giving process. H’Mong people decide to go to the medical stations or centers only when do their disease situation become strictly severe and unable to be cured. H’Mong women do not have concept of periodic health examination, or examination of some female prone diseases at different ages. Only a small number of H’Mong women, as they live in lower terrain and encouraged by the health care workers, have changed their concept on this. This is a very low rate as most women do not care about issues of their health. For Thai women, they have more advanced awareness on this so they often go to health care stations or centers to have examination when they feel necessary and participate in and listen to community education conducted by medical workers in coordination with hamlet medical workers or by non-government organization in order to educate women the way to take care of and protect their health. Ethnic minority women in general are benefited from medical insurance certificate issuance program but H’Mong women do not take this advantage to have their health checked in state medical centers because of being afraid of cultural issue relating to gender and Vietnamese language ability.

Gender equity in working and jobs

24

74. Ethnic people, particularly ethnic women have fewer opportunities to develop their economy. 87% of rural ethnic women do farm works for families. They have to take responsibilities of working on and tilling terrace field, breeding poultry, home bred-animal and livestock and taking care of kids etc. Their education access limit is one of the main causes that limit their opportunity to non-agriculture jobs. Ethnic women are entiled to a lot of priority policies by the government such as assistance in credit, assistance in breeding animals and variety, but as a result of limited knowledge and being unable to make technical methods learnt from hamlet workers into practice of production. Therefore, labor productivity is low, even worse home-bred animal and poultry get dead because of getting cold and epidemic diseases etc. From the above stated reasons that make the ethnic women meet even more difficulties.

Gender equity within family and land use right and property

75. Family assets is possessed, managed and decided by the men. Traditional regulations on roles of men in a faminy in worshiping parents and ancestors in patriarchy society create gender unequity to women. H’Mong people think that the more chidren a family has the more fortune it has. As a result of this women’s life expectancy decline because of their health. And H’Mong people also think that H’Mong women can only live on their husband family’s land and be considered as senior labor in the family although they have to work harder during longer period of time than men. 76. Labor allocation within a family in ethnic group still appears gender discriminatory treatment. Work for men are often considered as “heavy duties”, “technical required dutites” and diplomatic relationship while work for women are often “simple”. Table III-13 provides detailed information on labor assignment in terms of gender in the investigated HHs in the project affected communes.

Table III-13 Labor allocation in families in terms of gender

Work to be done apart from house

works Both male & female Male Female Total

Farming 139 5 13 157

Gradening 139 4 14 157

Cutivating on hill field 46 - 3 49

Working in factory - - 3 3

Forestry 4 - - 4

Breeding 127 3 10 140

Small scale business 2 - - 2

Working in town (away from home) - - - -

House work Both male & female Male Female

Taking care of babies 68 1 83 152

Cleaning and tidying up 62 3 92 157

Cooking 56 3 98 157

Participating in public and social work Both male & female Male Female

Participating in public consultation meeting

129 14 14 157

25

Work to be done apart from house

works Both male & female Male Female Total

Participating in making decision 122 23 12 157

Joining in local organisation 40 15 4 59

Others - - - -

26

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION

A. Information disclosure

77. According to the safeguards policy of World Bank on resettlement and ethnic minorities, during the period of survey and data cencus (June and July 2014) for preparing the RP and EMDP, Trung Thu Hydropower JSC together with group of consultants to coordinate with District Compensation, Assistance and Resettlement Board (DCARB) in two district of the project area to disclose information about frameworks which has been approved for the project about Resettlement Action Plan (RAP) and Ethnic Minority Development Plan (EMDP) rectified by MOIT and WB, relevant information of project and expected schedule to implement so local authorities and affected community can be known project information. 78. Organisation several rounds of public consultation to disseminate and address project information to affected people, communities in affected communes in project area. As soon as getting approval of WB and MOIT, RP report and EMDP report shall be translated into Vietnamese to make it easier to read and understand; also help implementation of EMDP and application of compensation and resettlement policies to affected people in a more convenient manner. List of land affected HHs who lost land and property on land with compensation payments shall be indicated clearly. The affected people shall be clearly informed implementation plans for resettlement actions, including (i) contents of public consultation regarding project, its implementation plan, land acquisition plan and construction plan; (ii) investigation and detailed measuring survey; (iii) official and eligible list of affected people and their entitlement; (iv) quantity and compensation unit price; (v) compensation and other assistance payment plan; and (vi) other issues such as framework for income restoration for affected people, grievance redress mechanism, monitoring and evaluation etc.. Notices and related documents shall be posted at affected commune people’s committees (CPC)/or community cultural house or posted at easily seen places. Project information booklet (PIB) shall be prrovided to affected HHs and is available at CPC, hamlet cultural house. (PIB is described in details in Appendix 2).

B. Public consultation and participation

79. During preparation of this resettlement plan, several public consultation meetings on affected ethnic minority people were taken place in June 2014 to discuss and evaluate impacts as well as ensure that comments and opinions from local communities shall be taken into the report. 80. As described in the previous sections, at the time of preparing this RP, some of the affected HHs have already got compensation payment for their affected land. As results from discussions with stakeholders during information disclosure process and public consultation meetings held in June and July 2014 it shows that DCARB and Trung Thu Hydropower JSC have conducted sufficient necessary steps of disseminating project information, compensation and assistance policies, consulting affected HHs on their actions relating to land acquisition, construction and mitigation measures. However, in order to provide further information about the project as well as policy supplementation in compliance with agreed guidelines for the REDP. The affected HHs continued to participate, be consulted and dissenminated information during implementation process in June and July 2014. (Minutes of public consultation meetings and participation, meeting pictures taken are attached in Appendix 4 and Appendix 5).

27

Table IV-1 Time, venue and number of participants in commune public consultation meetings

No. District/commune Time Venue Number of participants

Total Male Female

I Tua Chua district 25 22 3

1 Trung Thu commune 16/6/2014 CPC meeting hall 13 13 0

2 Sinh Phinh commune 16/6/2014

CPC meeting hall 8 6 2

3 Muong Bang commune 16/6/2014


II Muong Cha district 52 34 18

1 Nam Nen commune 17/6/2014


2 Xa Tong commune 18/6/2014


3 Pa Ham commune 18/6/2014


Total 77 56 21

81. Instruments used in public consultation included organization of meetings, interviews to individual and group discussion. People from affected hamlets were ready to discus and share information. Women and youngsters were invited to participate and encouraged to contribute their ideas, especially ethnic groups in affected communes were consulted. Ethnic groups in project area also had their representative organizations to connect with Women’s association, Farmers’ Association, Commune and Hamlet Youth Association.

C. Results of information dissemination and Public consultation

82. Public consultation meetings on RAP and EMDP between representative of Trung Thu Hydropower JSC and consultant team and local communities were held during potential damage survey process. Below are comments and opinions of the ethnic people with their desires on Trung Thu Hydropower Plant.

Table IV-2 Summary of contents of discussion and opinions at the Public consultation meetings

No. District/com

mune Feedback from people Focus group discussion

I Tua Chua

1 Trung Thu commune

- Local people agreed with the implementation of the project. However, if they lose large area of their land, satisfied

- The project shall be implemented without impacts on cultural, religious and local public structures. But these structures have been constructed for

28

No. District/com


compensation is needed, no mistake in compensation

- If they lose production land, the investor is requested to take detailed survey with withness of relevant parties and provide correct, sufficient compensation. They wish the project on constructing a road for them.

years and badly deteriorated. If possible, the project should assist in upgrading and repair them for the people.

Hamlet people wish to receive satisfied, appropriate compensation so that they can use the money for purchasing land in other place for their production. Or to reclaim virgin land on wild hills for production.

During construction and operation of the plant, the investor should provide jobs for local people.

- One new road shall be constructed during construction and operation of the plant.

2 Sinh Phinh commune

- The people agreed and support the project implementation as they will be benefited from the project and having electrictcity for lighting

- Compensation need to be done in satisfactory manner on land price and crops, trees on land

- Mine explosion during construction is requested to provide advance warning so that the people can avoid for safety of their lives and animals.

-

- If the people’s land is acquired for the project, satisfactory compensation is needed in compliance with the state regulations, however land - for - land compensation (or compensation in land) is preferred.

- If public land fund is available, Trung Thu Company shall work with local authorities to apply land - for - land compensation. If it is not available, the company shall compensate as regulated.

During plant construction and operation, the investor is requested to give priority to affected people to get jobs in the plant.

- Mine explosion during construction shall be given notice and warning sign provided.

- Every year, the state holds trainings on breeding, cultivating, gender equity, protection and prevention fron diseases funded by the government and non-government organizations in the area.

29

No. District/com


So the people wish their products to be circulated and comsumed.

Yearly, the company youth union shall coordinate with other organization to hold culture exchange program and higience environment propaganda to the people to prevent diseases

- When detailed measuring survey is taken place, there needs representation of the hamlet heads and representatives from CPC to know the axact area of further acquired land as at rainy season land slide and erosion may occur.

II Muong Cha

1 Nam Nen commune

- The people agreed with and support the project implementation.

- During detaile measurement, the people whose field is affected need to be informed to withness,

- If their irrigation cannel system is damage due to the project construction, the investor is requested to build a new one for them.

- Jobs for local labor during project construction to help the people having job and income.

- Assistance in building a road and assistance in agriculture product price for the people.

- When the project implementation, the people wish their products to be sold out.

Yearly, the company youth union shall coordinate with other organization to hold culture exchange program and higience environment propaganda to the people to prevent diseases.

- Mine explosion during construction shall be given notice and warning sign provided.

- During construction period, the investor and contractor shall coordinate with commune authority to ensure security and social order in the area

- During detailed measuring survey, representatives of all related stakeholders such as local authority, investor, affected people who will jointly do the survey as regulated by the state.

- Investor shall give job priority to land lost HHs, especially severely affected HHs

- During construction process, if any

30

No. District/com


public structure is damaged by the project, the project shall have to improve and rehabilitate or replace.

- Every year, the state holds trainings on breeding, cultivating, gender equity, protection and prevention from diseases funded by the government and non-government organizations in the area. So the people wish their products to be circulated and comsumed.

2 Pa Ham

commune

- The people agreed with the project implementation, but as they will lose almost their cultivated land as acquired for reservoir foundation, satisfied compensation is needed

- Detailed measuring survey should be done in accuracy manner, and with withness of the affected people to avoid mistake that may cause loss to the people. Irrigation cannels are also requested to be measured for compensation

- If the project impacts on public structures, new structures shall be constructed for compensation.

- Creating more jobs for ethnic people during construction and operation process of the plant which, shall help the people have more income to stabilize and develop their household economy.

- Land - for - land compensation is preferred so that the people have new cultivated land. If not, satisfactory compensation to the people and they will find other place to reclaim.

- If the public structures are impacted, new structures shall be constructed for compensation

- The people’s agriculture products cannot be circulated. Via the project support for consumable market and price are necessary.

- During construction or operation that causes the public structures damaged, the project shall have to improve, repair or reconstruct for compensation.

Every year, the state holds trainings on breeding, cultivating, gender equity, protection and prevention fron diseases funded by the government and non-government organizations in the area. So the people wish their products to be circulated and comsumed.

31

83. Public consultation meetings were held with participation of all relevant stakeholders to collect opinions or concerns of the ethnic minority community who are affected by the project, therefore counter measures are discussed to avoid or minimize impacts of the constructed works on public living and working conditions. Table IV-3 below describes details of community concerns and solutions commited to implement by the investor during project construction process.

Table IV-3 Concerns of affected community and commitment of the investor

No. Community concerns Commitment by the investor

1 Detailed measuring survey (DMS)

Detailed measuring survey should be done in accuracy manner, and with withness of the affected people to avoid mistake and cause loss to the people.

Detailed measuring survey should be participated by heads of hamlets and CPC representative

To be done in compliance with current regulations and prior notice to local authority and people via meetings for informing, distributing project implementation plan, posting project information in the public, hamlet notice board, CPC and on hamlet loudspeaker.

DMS team includes attendants of representatives from stakeholders as regulated.

2 Compensation

Land - for - land compensation is preferred

Satisfactory compensation basing on land price, tree and crops

In order to prioritise alternative of land - for - land compensation to affected HHs, the investor shall discussed this with local authority.

The investor shall assist at maximum level to local authority to be able to conduct alternative of land – for – land compensation.

In case of impossible to conduct alternative of land – for – land compensation, Regulations on compensation and assistance with appropriate unit price for compensation, results of survey and detailed compensation alternatives are posted in local public place and hamlet.

3 Assistance in stabilizing livelihood and

working

Assistance in training and worshop on cage fish breeding when reservoir construction completion.

Affected HHs shall be participated in training on cage fish breeding under project training program

During plant construction and operation

32


For the households who lost more than 50% of agriculture land, it is requested more project regulations for further assistance to such affected HHs.

During construction period, the investor should prepare policies of creating more jobs for local people to work in the plant when it comes into operation, this is especially for severely affected HHs.

severely affected HHs shall be given priority to be employed to work in the plant.

According to result from IOL, only 3 affected HHs have >10% of their land affected (and not higher than 12%) so no HHs is subject to severly affected with agriculture land

After detailed design, if there are any further severely affected HHs, the investor shall commit on policy for further aissistance under RP

4 Restoration of traditional industry

Every year the State projects, on training on embroidery, traditional handicraft for women in the area. So the people do not need more training but finding comsumable market for their products.

The investor shall discuss with local authority to develop traditional handicraft for areas that have traditional handicraft and find comsumable market for their products.

4 Restoration of public structure impacted by

the project

Some public structures shall be impacted, the the investor has to be reconstructed.

Reconstruction of 500m of national highway 6A, the section is impacted by the project

Reconstruction of Nam Nen bridge in Nam Nen commnue

Reconstruction of hydrological station in Nam Nen commune

5 Upgrading infrastructure

Expecting assistance in construction of a new road for movement (Nam Nen commune)

Rehabilitation of some irrigation cannels serving agriculture production of area near reservoir foundation

System of public structures is damaged by the project. The company has to repair it properly

Maintenance of inter hamlet roads and other public structures which were damaged by the plant construction.

When the plant comes into operation, some new road shall facilitate movement of local people between regions and develop their economy.

During construction of the plant, if irrigation cannel of the local people is impacted, the Investor shall repair and rehabilitate or renew upon level of damage.

6 Culture and religous

At the time of carrying out DMS, there is none

Payment for compensation shall be made in compliance with regulations and policies

33


of cemeteries to be impacted, however in the time to come if there is any, the investor has to compensate properly.

At the present, illiterate rate in the commune area is rather high, training course for eradicating illiteracy is needed for affected people, particularly for women.

Assistance in contributing fund for operation of social associations to encourage people to participate and travel fee for hamlet worker to encourage them to maneuver the people to participate together (Sinh Phinh commune)

Under gender propaganda campaign it will adopt gender mainstreaming and encourage local women association to open traning classes or groups to teach the common language to each other

During implementation of gender campaign, HIV protection and human trafficking, the project shall coordinate with local authority to select option of raising a long-term fund for associations.

Every year, the Party, State and Government often open illiterate eradication classes for women and compulsory education at primary and secondary levels which is under national education program.

Fund for operation and assistance have been approved by the government on yearly basic for ethnic people development

The investor together with other organizations shall propagandise policies concerning ethnic people development of the State for the local people.

7 Relating to design and construction

The construction of the plant shall cause damage to irrigation system of local people. The investor is requested to reconstruct the structure for local people.

Project design should calculate carefully water level of reservoir. No more impact to HHs’ fields along Nam Uc river after construction

Ensure environmental hygiene, return the site after construction

Irrigation cannel impacted by the project construction shall be reconstructed and return timely without causing impact to HHs production.

Calculating water level of reservoir has been done by consultants with support of morden Equipment to give out exact measuring information

In case of further impact as more production land is flooded, the investor shall find out solution for compensation and assistance for affected HHs.

Construction activity and material transportation shall follow approved environment management plan.

34

35

V. LEGAL FRAMEWORK AND ENTITLEMENT

84. In the framework of REDP, compensation, assistance and resettlement plan for Trung Thu Hydropower Plant has been prepared basing on principles of resettlement framework approved by MOIT and WB in 2008 for REDP. Policies applied in implementation of compensation, assistance and resettlement include (i) involuntary resettlement policy by WB; (ii) present policies and regulations on compensation assistance and resettlement by Government of Vietnam; and (iii) regulations on compensation assistance and resettlement by the provincial authority (Dien Bien province). They are:

A. Requirement on policies of WB

85. Basic principles in guidelines under OP4.12 by the World Bank (WB) on involuntary resettlement, for any project, a resettlement plan must be prepared to ensure that:

• Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options;

• Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan.

• The displaced people must be supported in terms of their capacity to improve their living conditions and to rehabilitate their living standards at least equal to that before constructing the subproject, equal to actual present value to the level before displacement or to a common level before commencement of the project or even higher than that.

86. Solutions required to ensure resettlement has active results, including:

• Consulting project affected people viable solutions for resettlement and livelihood restoration; • Providing affected people options of resettlement and livelihood restoration; • Compensating entire replacement cost for damages and loss; • Selecting site for resettlement where shall provide minimum benefits and services similar to

their existing place ; • Providing finance for assistance, training and income support to help them go well during

transitional period; • Recognising vulnerable groups and providing special support for these group; and • Establishing a structure on institution and organization to assist this process to final succeed.

B. Vietnam policy framework

87. At the time of preparing this RP, Land Law and regulations on compensation, assistance and resettlement have been rectified and come into effect (since 1 July 2014) which shall solve issues that

36

differ from practice of payment for compensation and assistance to land acquired people. That is Land Law 2013 (No.45/2013/QH13) has been rectified and issued to replace previous 2003 Land Law, therefore, some decree guiding implementation are also issued, including:

• Decree No.43/2014/NĐ-CP dated 15 /05/2014 by the Governement on regulations in details some articles of the Land Law No. 45/2013/QH13 (replacement of Decree No.181/2004/NĐ-CP; Decree No.17/2006/NĐ-CP; Decree No.84/2007/NĐ-CP; Decree No.69/2009/NĐ-CP; and Decree No.88/2009/NĐ-CP).

• Decree No.44/2014/NĐ-CP dated 15/05/2014 by the Governement on regulating land prices. (Replacement of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP)

• Decree No.45/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on collecting land use fee.

• Decree No.46/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on collecting land leasing fee, water surface leasing fee.

• Decree No.47/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on compensation, assistance and resettlement when the State acquired land. (Replacement of Decree No. 197/2004/NĐ-CP) dated 3/12/2004)

88. 2013 Land Law and Decree guiding implementation mentioned above become effective from 1st July 2014. For Trung Thu Hydropower Plant, these new legal documents shall be applied for payment for compensation and assistance for survey items to be conducted after 1st July 2014. 89. Nevertheless, there are some items that have been completed with compensation and assistance before such new legal documents become effective such items shall follow regulations defined in the legal documents issued before 1st July 2014, they are:

� Constitution of the Socialist Republic of Vietnam in 1992 determines house owner right of citizens and protects their owner right;

� 2003 Land Law issued on 26 November 2003;

� Decree No.181/2004/ND-CP, dated 29/10/2004 by the Government guiding the implementation of the revised 2003 Land Law;

� Circular No.01/2005/TT-BTNMT dated 13 April 2005 by Ministry of Natural Resources and Environment (MONRE) on guiding implementation of some articles under Decree No.181/2004/NĐ-CP dated 29/10/2004 by the Government;

� Decree No.188/2004/NĐ-CP dated 16 November 2004 by the Government on method of identifying land price and tariff of land of all types;

� Circular No.114/2004/TT-BTC dated 26 November 2004 by Ministry of Finance (MOF) on guiding implementation of Decree No.188/2004/NĐ-CP by the Government;

� Decree No.123/2007/NĐ-CP dated 27 July 2007 amending and supplementing some articles under Decree No.188/2004/NĐ-CP by the Government;

� Circular No.145/2007/TT-BTC dated 6 December 2007 by MOF guiding implementation of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP by the Government;

37

� Decree No.197/2004/NĐ-CP dated 3 December 2004 by the Government on compensation, assistance and resettlement when the State undertaken land acquisition;

� Circular No.116/2004/TT-BTC dated 7 December 2004 by MOF guiding implementation of Decree No.197/2004/NĐ-CP by the Government;

� Circular No.69/2006/TT-BTC dated 2 August 2006 by MOF on amendment and supplementation of Circular No.116/2004/TT-BTC by MOF;

� Decree No.17/2006/NĐ-CP dated 27 January 2006 by the Government on amendment and supplementation of some articles of decrees guiding implementation of Land Law;

� Decree No.84/2007/NĐ-CP dated 25 May 2007 promugating supplementation on issuance of Land use right certificate, land acquisition, undertaking land use rights, procedures of compensation, assistance and resettlement when the State acquires land and grievance redress mechanism;

� Circular No.06/2007/TT-BTNMT dated 15 June 2007 by MONRE guiding implementation of some articles under Decree No.84/2007/NĐ-CP by the Government;

� Inter-ministrial Circular No.14/2008/TTLT-BTC-BTNMT dated 31 January 2008 guiding implementation of some articles under Decree No.84/2007/NĐ-CP by the Government;

� Decree No.106/2005/NĐ-CP dated 17 August 2005 by the Government promulgating details and guidance on excecuting some articles under Electricity law and safe protection to high voltage facility of electric grid;

� Law of claim and denouncing No.09/1998/QH10 dated 2 December 1998;

� Decree No.67/1999/NĐ-CP dated 7 August 1999 by the Government regualating details and guiding execution of Law of claim and denouncing;

C. Regulations on compensation, assistance and resettlement by the local authority

90. 2013 Land Law and new guiding Decrees become effective on 1 July 2014, up to now Dien Bien PPC has been reviewing and adjusting current regulations for compliance with new policy and such new policy shall be updated during implementation process. Therefore, current local regulations on implementation of compensation, assistance and resettlement are still effective and proposed to apply, including:

� Decision No.01/2010/QĐ-UBND dated 18 January 2010 by Dien Bien PPC on promulgating detailed contents on compensation, assistance and resettlement when the State acquired land in the provincial area.

� Decision No.15/2011/QĐ-UBND dated 30 May 2011 by Dien Bien PPC on promulgating unit price for compensation, assistance for loss of property (houses, structures, trees and animals) on the land when the State acquired land in the provincial area.

� Decision No.23/2013/QĐ-UBND dated 30 December 2013 by Dien Bien PPC on promulgating price of types of land in the provincial area in 2014.

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D. Some regulations applied in compensation, assistance of Trung Thu Hydropower Plant

91. In order to harmonise policies by WB, Vietnam Government and regulations on compensation, assistance and resettlement by the PPC, the general regulations of Resettlement Framework for the REDP have been agreed between Muong Cha PCARB and Tua Chua PCARB, investor of Trung Thu Hydropower Plant, CPC and HHs affected by Trung Thu Hydropower Plant, including:

• During preparation of RP as well as at design stage, area of land to be acquired shall be minimise as possible and also be tried to avoid impacts on properties of the people as musch as possible.

• For HHs who have their residential land, agriculture land, tree, crops impacted and others in the project area, they will be compensated, assisted for restoration and improvement of their livelihood at least equal to status before being impacted by the project, including income and other livelihood development opportunities.

• Lacking some eligible legal documents on land use right (including residential land, agriculture land, and others) as well as other kind of eligible documents on property shall not be a problem for them to be entiled to compensation, assistance.

• Plans on Land acquisition and property on land, plans on compensation, assistance, ethnic minority development plan shall be implemented with close and regular public consultation to affected people.

• Land, trees, crops and other properties to be acquired and impacted shall be compensated equal to replacement costs, without deduction of depreciation value, transfer value or any type of deduction.

• Poor HHs, female headed HHs, ethnic HHs etc. and other vulnerable HHs shall be assisted in compliance with provincial current regulations. Aslo, the investor shall give other supports depending on results from public consultation with these groups of HHs.

92. Entittlement matrix for affected people under sub-projects of REDP has been clearly defined in the Resettlement Policy Framework. Basing on this entittlement matrix, entittlement matrix for HHs affected by Trung Thu Hydropower Plant is prepared in details in table V-1 below. Entilement shall be updated if during process of implementation, there will be new Dien Bien rovincial regulations to be issued.

39

Table V-1 Entittlement matrix

No. Type of

Loss/Impacts

Application Eligible

Persons

Entilement appied in Trung Thu

Hydropower Plant

Issues during implementation

1. Production land (agriculture land, aquaculture land, forestry land, garden)

less than 10% of total agriculture land in use of the HH to be loss

Owners with LURC over the land or eligible property rights to be recognized by the regulations

• For the permanently acquired land, cash compensation equal to replacement cost.

• Without mentioning temporary use of land; but normally in Vietnam contractors cannot use any private property without prior agreement with owner of such property.

• Adjustment of free of charge possession right for land owner for the remaining land which still in use.

• For non-land properties, see section 3-6 below.

• Providing assistance in livelihood restoration in terms of HHs in vulnerable group (item 12)

• Providing progress bonus (item13)

• If value of the remaining land is lower than regulatory minimum level, entire area of such land lot shall be acquired and the affected people shall be categorized in other level of being affected and entiled to further compensation.

Same application as above

Affected households with long term lease agreement over the affected

• For the permanently acquired land, cash assistance equal to 30% of replacement cost (this is considered as cost invested into the land, improvement, upgrading etc.)

• For affected trees, crops,

• In case remain portion of investment is higher than 30% of replacement cost, DCARB shall recalculate for identification of reasonable assistance (or refund such

40

No. Type of

Loss/Impacts


Persons


Hydropower Plant


land

compensation on market price and yield to be calculated as average of the last 3 years

remain portion of investment + assistance for the leasee for his income impacted.)


Owners without acceptable proof of ownership over the land (illegaly appropriated land)

• Not entitled to compensation for land but for crop, trees as equal to replacement cost.

• Provided assistance for livelihood restoration in terms of HHs in vulnerable group (item 12)

Loss more than 10% total land in use of the HH

Owners with LURC over the land or eligible property rights to be recognized by the regulations

• Cash compensation equal to replacement cost or “land–for-land” compensation

• Adjustment of free of charge possession right for land owner for the remaining land which still in use.

• For non-land properties, see section 3-6 below.

• Assistance for server damage, see item 9 and 11 below.


• If value of the remaining land is lower than regulatory minimum level, entire area of such land lot shall be acquired and the affected people shall be categorized in other level of being affected and entiled to further compensation.

• If “land–for-land” compensation is applied, both wife and husband shall have equal rights to possess the land

41

No. Type of

Loss/Impacts


Persons


Hydropower Plant



Land leasee and permanent land leasee

• For the permanently acquired land, cash assistance equal to 30% of replacement cost (this is considered as cost invested into the land, improvement, upgrading etc.)

• For affected trees, crops, compensation on market price and yield to be calculated as average of the last 3 years

• Affected people shall be informed 4 month prior to implementation of land acquisition for the project.

• In case remain portion of investment is higher than 30% of repcement cost, DCARB shall recalculate for identification of reasonable assistance (or refund such remain portion of investment + assistance for the leasee for his income impacted.)


Owners without acceptable proof of ownership over the land (illegaly appropriated land)

• Not entitled to compensation for land but for crop, trees as equal to replacement cost.

• Affected people shall be informed 4 months prior to implementation of land acquisition for the project.

• Provided assistance for livelihood restoration for AHHs in vulnerable group (item 12)

2. Residential land Light damage (for ex.: being able to stay on remaining portion of land, no need to

Owners of the land with eligible possession right or possession

• Similar to affected production land • Providing progress bonus (item13)

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No. Type of

Loss/Impacts


Persons


Hydropower Plant


relocate);

right acceptable to the law

Severe

damage (for ex.: not being able to stay on the remaining portion of land or be acquired entire area of land)

Owners of the land with eligible possession right or possession right acceptable to the law

• Similar to affected production land


3. Houses and shops Light damage (for ex.: being able to stay on remaining portion of house, no need to relocate);

Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit.

• Cash compensation equal to replacement cost (without depreciation or deduction of salvage material) for the affected structure portion.

Severe

damage (for ex.: not being able to stay on the remaining

Owners of the structures with or without acceptable proof of

• Cash compensation equal to replacement cost (without depreciation or deduction of salvage material) for the affected structure portion.

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No. Type of

Loss/Impacts


Persons


Hydropower Plant


portion of house or be acquired entire structure)

ownership over the land; with or without building permit

• Regarding to assistance, see item 10 below.

4. Other structures To be destructured or damaged

Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit

• Cash compensation equal to market price on material and labor without considering depreciation and deduction of salvage material.

5 Graves Affected graves

Affected owner

• Compensation for all costs of digging, exhumation, transporting for reburial for the affected HHs

• Gaves shall be excavated and haulage in compliance with traditional manner and custom

• During implementation process, if any gave is found ownerless, CPC will be responsible for relocation of it with costs to be paid from land acquisition budget of the project.

6 Crops and trees Affected Crops and trees

Owners regardless of tenure status

• Affected people are entiled to cash compensation for affected crops equal to market price.

• Affected people are entiled to cash compensation for affected trees equal to market price as per tree

• Affected people shall be noticed some months prior to commencement of construction. Trees and crops are grown after the notice date will not subject to

44

No. Type of

Loss/Impacts


Persons


Hydropower Plant


type, age and production values. If affected trees can be removable, compensation will be equal to cost for removement and actual damage.

compensation.

7 Public facilities Works, structures, community forest/pasture for animal/or other types of land/ irrigation system to be affected as temporary or permanent use of land or landfill of solid waste.

Village, ward, governmental administrative units

• Restoration of building, community structures at leat to its originated conditions, or

• Replacement in the dedicated area with consultation of the affected community and relevant authorized agencies, or

• Compensaion equal to replacement cost without considering depreciation but deduction salvage material.

• If damage on income is estimated (for Ex. Irrigation system, community forest, community pasture for animal), hamlets are entitled to compensation to total damages on production, this compensation will be collectively used for solutions of restoration of income and/or new infrastructure.

8 Temporary impacts during project construction process

Agriculture land to be temporarily impacted

Affected land owner is

• Compensation for loss from net income during impacted period of construction.

• Recovery to the same or better condition than before with methods of soil quality improvement

• If soil quality cannot recovered as the same as before construction for the affected people, and if the affected people have to change land use purpose, as result of such change, the affected people shall be compensated every cost for

45

No. Type of

Loss/Impacts


Persons


Hydropower Plant


the loss, and in case of being unable to change land use purpose then such land shall be acquired and satisfactory compensation shall me made for effected people the same entitlement as for other HH who have their land acquired for the project.

Temporary impact to residential land

Owner of affected land

• Compensation for the property impacted equal to replacement cost

• Recovery of soil to its previous conditions

Damages caused by contractor to the public or private owned structures or land

Owner or who has land use right

• The contractor shall be requested to compensate immediately to the affected HHs, groups, communities or state agencies.

• Damaged properties shall be recovered to their original conditions.

9 Loss in income/livelihood due to land lost

Severely affected due to loss equal to or more than 10% of production land and income

Land owners with LURC; or in the process of acquiring LURC; and those covered by customary

Allowances for stabilizing livelihood

• Assistance to HHs whose total area of agriculture land is acquired from 10% to 30% is equal to 3 months in case of non-relocation, 6 months in case of relocation ). Assistance in cash is equal to 30kg of rice

46

No. Type of

Loss/Impacts


Persons


Hydropower Plant


rights, such as members of ethnic minority groups. Affected households with lease agreement over the affected land

/member/month. Assistance is provided on 6 month basic.

• In addition, further assistance to HHs whose total area of agriculture land is acquired from 30% to 70% is equal to 6 months in case of non-relocation, 24 months in case of relocation; whose total area of acquired agriculture land is more than 70% is equal to 12 months in case of non-relocation and 36 months incase of relocation. Assistance in cash is equal to 30kg of rice /member/month. Assistance is provided on 6 month basic.

Allowance for changing and creating

job:

• Assistance equal to 5 times of agriculture land price for entire acquired land – regardless the rate of land loss (area to get assistance is not exceeded local land handing limit).

By land support.

Affected HHs are compensated in land, assistant rate for production is

47

No. Type of

Loss/Impacts


Persons


Hydropower Plant


VND5,000,000/labor, for the HHs with more than one at working age, the second one onward will get assistance of VND2,000,000/labor.

In case land is used for agriculture, forestry, aquaculture purpose in form of fixed rate (excluding special use forest land, protection forest land) handed by land using organizations to their staff and officer who are still working or retiring, retiring early, leaving job but entitled to support; and who are directly involve in agriculture production for main income, then assistance is equal to 100% of agriculture land price against actual measured acquired area but not exceeding local land handing limit.

10 Impacts on houses and will require relocation

Severe impact on houses

Relocating households regardless of tenure status

Material Transportation allowance

• If households must be relocated within the province /city not exceeding 20km distance, they shall each receive a support of VND 3,000,000 /HH

• If households must be relocated within the province /city exceeding 20km distance, they shall each

48

No. Type of

Loss/Impacts


Persons


Hydropower Plant


receive a support of VND 5,000,000 /HH

• If households must be relocated to another province in the north, they shall each receive a support of VND 8,000,000 /HH; in the central and south region, they shall each receive a support of VND 10,000,000 /HH.

House leasing assistance

• House leasing assistance in cash includes: (i) for HH with 5 and less than 5 members: VND 800,000 /month; (ii) for HH with more than 5 members: VND 1,000,000/month; and single member HH: VND 600,000 /month.

• Period of time to get assistance is from land handing to the investor until recieve land for resettlement.

Assistance to house leasing HHs

Relocation assistance fee: VND 2,000,000 /HH and transition subsistence allowance in cash equal to 30kg of rice/member/month for 3 month period.

11 Loss of income/ livelihood due to

Severe impact on shop

Relocating affected HHs,

Economic organizations, family business enterprises with registered

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No. Type of

Loss/Impacts


Persons


Hydropower Plant


relocation of business

shop owners (house and shop) regardless of tenure status

industries are to stop production due to land acquisition for the project, they are entitled to get assistance equivalent to 30% of 1 year’s income after taxes, calculated according to the average income level for last three years .

12 Higher risks of impoverishment /hardship due to loss of resource base

Loss of Land and Non-Land Assets

Affected vulnerable groups regardless of severity of impacts

Provincial social policies for HHs

who are entitled to social allowance

at the time their land is acquired by

the State and have to relocate: • Who acted for national revolutionary

before 1945, heroes in people’s armed force, Vietnamese heroic mothers, Heroes in working, close relative of revolutionary martyr who are presently entitled to monthly State support, wounded soldier, sick soldier, persons who are entitled to the same social support as wounded soldier with 81% or more of their health loss shall be assisted VND5,000,000/house using owner

• Wounded soldier and persons who are entiled to State support as wounded soldier whose 61% to 80% of their health lost shall be subject to

• Policies for families entitled to social allowances who have to relocate their houses, in case of the HH with many person who are entitled to one of the defined assistance levels, such HH shall be assisted once at the highest level.

50

No. Type of

Loss/Impacts


Persons


Hydropower Plant


assistance of VND4,000,000/house using owner.

• Wounded soldier and persons who are entiled to State support as wounded soldier whose 41% to 60% of their health lost shall be subject to assistance of VND 3,000,000/house using owner.

• Wounded soldier and persons who are entiled to State support as wounded soldier whose 21% to 40% of their health lost shall be subject to assistance of VND 2,000,000/house using owner.

Those who were awarded Resistance War Medal – class I, victory medal – class I shall be entitled to assistance of VND1,000,000/house using owner • HH with a person who is given other

state support will be entitled to assistance of VND 2,000,000/HH Project assistance policies

• Assistance for changing jobs (working in the Plant) and restoration of income via assistance form of training, worshop on livestock breeding technology.

• These supports and

assistances shall be developed through Ethnic Minority Development Plan (EMDP)

13 Providing progress Damage and Owner with • Bonus rate of VND 2,000/m2 for

51

No. Type of

Loss/Impacts


Persons


Hydropower Plant


bonus loss of land and property on land

affected properties

agriculture land being acquired and handing in timely manner of progress as requested by the DCARB, max. VND 2,000,000/HH.

• Bonus to owners whose house, residential land, business and non-agriculture land, structures shall be destructed entirely or partially. Then:

• Removement, handing the site at least 15 days prior to dedicated date, the bonus will be VND 5,000,000/HH.

• Removement, handing the site within 15 days prior to dedicated date, the bonus will be VND 4,000,000/HH.

• Removement, handing the site on time, the bonus will be VND 3,000,000/HH.

• Bonus to land owner, HH whose land is partially acquired but no destruction of their house, structures on land, then:

• Removement, handing the site at least 15 days prior to dedicated date, the bonus will be VND

52

No. Type of

Loss/Impacts


Persons


Hydropower Plant


3,000,000/HH. • Removement, handing the site

within 15 days prior to dedicated date, the bonus will be VND 2,000,000/HH.

• Removement, handing the site on dedicated date, the bonus will be VND 1,000,000/HH.

• For economic entities, bonus will be VND 5,000 /m2 but not exceeding VND 10,000,000/entity

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V. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY

93. This Chapter will discuss in further details on several types of entitlement to compensation and assistance that the project shall provide affected HHs for their resettlement, restoration and even improvement of their existing socio-economic conditions to be better than before project. Several types of entitlement will be provided to HHs depending on types of impacts and level of impacts toward HHs. In addition, for HHs categorised in vulnerable group shall receive further assistance for their early livelihood stabilisation.

A. Legal basic for calculating compensation prices

94. Dien Bien PPC, pursuant to decrees (Decree No.197/2004/ ND-CP and Decree No. 69/2009/ND-CP) every year issues unit price for land and other assets as well as assistances to affected HHs as results of land acquisition for road construction projects. Unit prices for assets are used to calculate total compensation value for affected properties when land is acquired by the State for government projects with communial objectives and for local tax calculation. Decree No.188/2004/ND-CP has been amended and supplemented to Decree No.123/2007/ND-CP promulgating on standard framework for identification of unit price for land which is evaluated corresponding to market price on principles of “voluntary sale – voluntary purchase” in the normal status without any sign of speculation, economic or financial inflation, change of policy regime, force to transfer, or blooded relationship.

95. For Trung Thu Hyropower Plant, values of affected land are evaluated and principally basing on international concepts on market price “Total value for a land plot should include exchange of ownership identified between “voluntary sale – voluntary purchase” paties under normal transaction conditions with the same purpose in which each party has cautiousness without any obligations or ties” to avoid any speculation, economic or financial inflation. Moreover, identification of replacement cost for land, structures or properties on land are described in section of replacement cost identification.

B. Replacement cost identification

96. Survey market price for land, trees (of all types), crops, structures on land, physical labor daily cost, construction material price etc. in affected area and the surroundings has been conducted by representatives from investor, farmers’ association, women’s association, Tua Chua and Muong Cha PCARBs and representatives for 157 affected HHs. Survey results show that, at present in affected area, there is no market price for land, there is no land exchange or purchase, houses or trees (most of HHs distribute a part of land, house for their kids when they get married). So unit price for compensation for land is followed Decision No.23/2013/QĐ-UBND dated 30 December 2013 and unit price for conpensation and assistance for structures, trees and crops, home raised animal and live stock is followed Decision No.15/2011/QĐ-UBND dated 30 May 2011 by Dien Bien PPC have been discussed with affected HHs and as a result, the defined price is rather reasonable to nationwide rate of investment (including labor cost for caring) and have been entirely agreed by HHs’ representatives.

54

97. Compensation price was disclosed publicly in public consultation program and highly agreed by the affected HHs.

C. Compensation for impacts and entittlement

1) Compensation for affected land

98. Inventory of Loss (IOL) has estimated about 194,390 m² of annual cultivated land of 157 HHs to be acquired for construction of the plant. Total compensation and replacement cost for this type of land is estimated about VND1,943,900,000 (equal to USD92,566.6). Price for compensation for affected land is at replacement cost, HHs shall receive assistances for stabilising their livelihood and income restoration in the period of waiting to harvest time of the next crop. Table VI-1 provides information in details of compensation costs for affected HHs.

Table V-1 Total compensation cost for affected HHs

No. Item Unit Quantity Unit price

(VNĐ) Amount (VNĐ)

I Tua Chua

district 62.209 622.090.000

1 Trung Thu VNĐ/m2 47.704 10.000 477.040.000 2 Sinh Phinh VNĐ/m2 14.505 10.000 145.050.000

II Muong Cha

district

132.181 1.321.810.000

1 Nậm Nèn VNĐ/m2 13.785 10.000 137.850.000 2 Pa Ham VNĐ/m2 118.396 10.000 1.183.960.000

Total

194.390 1.943.900.000

99. As described in Chapter II, at the time of this RP preparation, there were 109,573.1 m2 from 67, out of 157 affected households had been acquired with total cost for this was VND1,238,120,000 in which VND1,114,578,600 was for compensation and VNĐ116,711,000 was for progress bonus and VND6,000,000 was for compensation for annual crops. Payment for compensation for these affected HHs were done in 2014, PCARB had applied set of unit price prepared under Decision No.23/2013/QĐ-UBND dated 30 December 2013 by Dien Bien PPC and pursuant to results of investigation and survey for replacement costs, this set of unit price is totally suitable to actual costs and agreed by the every affected HH. In addition, implementation followed the project policies, the HHs have previously received compensation shall be entitled to additional assistance like other householes who are acquired their land in compliance with this RP. List of 67 affected HHs who have received compensation is presented in Appendix 1 – Part II below). 100. For the remaining Ahs (90 hộ) with affected productive land, although local authorities has found te replacement land for compensation, however, the remaining land of commune has not much

55

left or difficulty for cultivation, thus cash compensation will be apllied. Total affected area of 90 Ahs that have not compensated is 84.816,9 m2 and this area will be required for dam and reservoir with total compensation amount of 705.780.000 VNĐ

2) Compensation for affected trees, crops

101. First, for the project policies, close coordination with local authority when preparing to construct the plant to facilitate local people to be able to harvest their crops on the land to be acquired for the project. In case of not being able to do this before harvest time and constructing plant, total impact on crops shall have to be compensated equal to market price. Pursuant to results of IOL, all annual standing crops are estimated for cost of VND1,209,486,000 (equal to USD57,594.5. In which mainly paddy area is computed for VND1,096,053,000 (equal to USD52,193) and then coming up is maize area of VND113,433,000 (equal to USD5,401.5), these costs shall be paid to HHs with affected land but during implementation process priority and study so that crops can be harvested on time before acquiring land for the plant. Normally, a good plan for land acquisition is to permit affected HHs to harvest annual crops in time before land clearance and acquisition. Table VI-2 descibes details compensation costs for annual crop per project affected commune.

Table V-2 Compensation for affected trees, crops

No. District/commune Unit Quant. Unit price Total (VNĐ)

I Tủa Chùa distict 62.209 314.647.000

1 Trung Thu 47.704 244.244.000 Paddy VNĐ/m2 25.283 7.000 176.981.000 Maize VNĐ/m2 22.421 3.000 67.263.000

2 Sính Phình 14.505 70.403.000 Paddy VNĐ/m2 6.722 7.000 47.054.000 Maize VNĐ/m2 7.783 3.000 23.349.000

II Muong Cha district 132.181 894.839.000

1 Nậm Nèn 13.784 96.488.000 Paddy VNĐ/m2 13.784 7.000 96.488.000 Maize VNĐ/m2 - 3.000 -

3 Pa Ham 118.397 798.351.000 Paddy VNĐ/m2 110.790 7.000 775.530.000 Maize VNĐ/m2 7.607 3.000 22.821.000 Total 194.390 1.209.486.000

3) Compensation for affected structures

102. As presented in Chapter II, results of IOL indicated that there is no HH’s affected strcutures.

4) Assistances for affected HHs

56

103. This is undertaken in compliance with policy and principles agreed for the project REDP and basing on results for public consultation meetings with affected HHs. A lot of assistance have been applied as described in the entitlement matrix, however, the directly affected objects by the project, Trung Thu Hydropower Plant, are HHs’ agriculture land to be acquired, so this section focuses on assistances for HHs who have their agriculture land to be acquired, including:

• Assistance for stabilising livelihood (i) assistance for HHs whose total area of agriculture land is acquired from 10% to 30% is equal to 3 months in case of non-relocation, 6 months in case of relocation. Assistance in cash is equal to 30kg of rice /member/month for 6 months. and (ii) in addition, further assistance for HHs whose total area of agriculture land is acquired from 30% to 70% is equal to 6 months in case of non-relocation, 24 months in case of relocation; whose total area of agriculture land acquired accounted for more than 70% is equal to 12 months in case of non-relocation and 36 months incase of relocation. Assistance in cash is equal to 30kg of rice /member/month for 6 months. For Trung Thu Hydropower Plant, as presented above, only 3 out of 157 HHs have more than 10% of their land affected (in detailed: 11.1%; 11.7% and 12.0%) and these impacts are considered not significant as the HHs’ remain area still meet sufficient requirements of production and income (in details 24,869 m2; 34,510 m2; and 86,215 m2).

• Allowance for changing and creating job:

Assistance equal to 5 times of agriculture land price for entire acquired land – regardless the rate of land loss (area to get assistance is not exceeded local land handing limit).

• Assistance to vulnerable group: (i) training youngsters with physical work when plant construction period is at high peak and on-the-job training to them, when it comes into operation, and (ii) training technique to raise fish in cage.

• Providing progress bonus: Bonus rate of VND 2,000/m2 for agriculture land being acquired and handing in timely manner of progress as requested by the DCARB, max VND2,000,000/HH.

104. Table VI-3 provodes information in details on assistance items to be provided to HHs who are impacted by Trung Thu Hydropower Plant.

Table V-3 Total cost of assistance to affected HHs

No. Assisted items Quantity Total assistance cost (VNĐ)

Notes

1 Assistance changing and job creation

194.390 m2

9,719,500,000 Area to get assistance is not exceeded local land handing limit

2 Providing progress bonus

194.390 m2

314,000,000 Bonus 2.000 VND/m2, and not excceed 2.000.000 VND/HH

3 Assistance in technical training in order to change jobs and create more jobs

157 65,000,000 Budget for this implementation shall be from

57

No. Assisted items Quantity Total assistance cost (VNĐ)

Notes

EMDP 4 Assistance for stabilising

livelihood 03 30 kg rice x 5

peolpe/HH x 3 HH x3 months x

15.000VNĐ/Kg = 20.250.000 VNĐ

This budget will be implemented through EMDP

Total 10,098,500,000

5) Income rehabilitation program

105. As described in Chapter II, implementation of land acquisition for the plant has been carefully calculated to avoid and minimize land area of HHs to be acquired. So there is a number of HHs (3 HHs) who have more than 10% of total land area affected, mainly of them (154 HHs) have less than 10% affected. In addition, land acquisition for construction of the plant somehow permanently affected to pasture for domestic cattle (goat and buffaloes) of the HHs in 4 hamlets in Pa Ham commune and to some fishing activities (fishing Lang in the river) because of a new dam built for water retaining for the hydropower plant. Measures have been discussed and proposed via public consultation meetings with local authority and affected HHs, including:

• For affected HHs whose agriculture land is acquired, apart from local assistances as defined in the policy framework, assistance in cash by the project for holding training cources will support job changes (funding source for implementation of this is followed EMDP)

• For affected HHs who lost pasture for cattle, solutions are (i) an area of 10ha in Muong Anh II hamlet has been planned by the local authority for construction of offices for commune people’s committee, school and medical station, however this area is still blank. In the short term this area can be used as pasture for cattle, (ii) in Pa Ham commune, there are some areas (12-15 ha) as pastures for cattle which lie on boundary with Sa Tong commune where Pa Ham people are living. The HHs can shift their cattle to these areas.

• For HHs impacted on their activity of catching Lang fish: (i) a training course on technique of breeding fish in cages to these HHs in order to make use of water in the reservoir, (ii) monitoring and supervising implemention of HHs and facilitate HHs during implementation process, and (iii) regular technical assistance for HHs during early stage and plant operation period.

6) Gender and Ethnic minority development strategy

106. This is to: (i) Minimise and mitigate project impact on livelihood of the ethnic minority people in the project affected area; (ii) ensure the project implementation process, promote full respectation to human rights, unique cultural identity, variaties amongst ethnic groups in the project affected area and recognise their development need and expectation; (iii) indicate how impacts caused by the project on ethnic people and potential negative impacts are avoided or minigated; (iv) ensure performed interests are culturally appropriate; (v) ensure affected communities to be consulted on potential impacts and mitigating measures, and they can fully participate in process of making decision, implementation and monitoring.

58

107. In compliance with guidelines by the sponsor (WB), an EMDP has been prepared to gether with this RP, in which issues and discussions relating to gender and ethnic minority people, as well as actions, concrete measures to minimise or develop are described in details. (See report of EMDP for reference).

7) Compensation for affected public structures

108. As presented in Chapter II, Trung Thu Hydropower Plant construction shall impact on a bridge and access road to a hydrometeorology station. Total compensation cost and assistance to rehabilitate and restore these public structures is VND 250,000,000 (equal to USD 11,904.7). Out of this figure, VND 100,000,000 shall be used for stone gabions, strengthening both abutment slopes of Nam Nen bridge to protect structure from erosion, and VND 150,000,000 shall be uded for upgrading base level of hydrometeorology station access road. These figures are under estimation, the exact ones shall be identified during implementation stage. Table VI-4 describes in details compensation cost estimates for affected public structures.

Table V-4 Compensation costs for affected public structure

Structure Affected structure

Owner Affected

Item Unit

Unit price (VNĐ)

Amount (VNĐ)

Nam Nen bridge

Nam Nen bridge Roaf Co. No.1 Reservoir

foundation tree 100.000.000 100.000.000

Hydrometeorology station

Hydrometeorology station

Dien Bien Provincial Hydrometeorology Center

Reservoir foundation station

250.000.000 150.000.000

Total

250.000.000

59

VI. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE

A. Implementation schedule

109. The project shall be implemented for 2.5 years (2014-2016), in which preparation stage is in last 6 months of 2014 and expecting that construction commencement shall be in January 2015 and completion shall be in December 2016. During detailed engineering design, updating RP shall be done. As soon as updated RP is completed, it will be submitted by Trung Thu Hydropower JSC to WB for review and approval. All resettlement activities shall be interacted with construction schedule. Land acquisition and relocation of affected HHs shall not be commenced until updated RP has not been reiewed and approved. Trung Thu Hydropower JSC shall not allow any construction work on site before all resettlement activities have satisfactorily completed and no more obstacles to the site for construction. Table XII-1 summarises variable interactions that attach to updating and implementing RP. 110. Resettlement implementation schedule is as following:

Table VI-1 Implemenation schedule for entire project

B. Institutional arrangements

111. Trung Thu Hydropower JSC shall be responsible for every project component implementation including preparation and implementation of RP and monitoring and evaluation of this

Activities Implementation schedule

Information dissemination and public consultation June 2014 - July 2014

Preparing RP June 2014 - July 2014

Submission of RP July 2014

Approval of RP December 2014

Information dissemination after RP has been approved January 2015

Payment for compensation and assistance Jan-Mar 2015

Monitoring and evaluation Jan. 2015- June. 2016

Implementation of construction Jan. 2015 – Dec. 2016

60

RP. Woking as project excecuting agency, Trung Thu Hydropower JSC shall have key responsibilities as follows:

• Preparing and implementing RP in coordination with people’s committees at levels and Provincial Compensation, Assistance and Resettlement Board (PCARB), DCARB and submitting to MOIT and WB for approval;

• Ensuring that WB shall agree with any change in RP;

• Ensuring budget for RP implementation, financing source for resettlement (e.g payment for compensation and other assistances) timely and sufficiently;

• Assisting in solving complaints and claims by affected HHs.

112. The reponsibilities include:

• Providing guidance to PPC, DPC, CPC, PCARB, DCARB, project related groups and project resettlement policies, and concrete tasks of the groups including preparing, updating and implementing RP, if necessary;

• Coordinating with PPC, PCARB, DCARB;

• Together with DCARB, conducting key activities at site which relate to setting up, preparing and implementing RP, for example, disseminating project information and discussion with affected people and other project stakeholders.

• Coordinating with relevant provincial/district agencies to promptly allocate land for affected people who are subject to compensation in land.

• Monitoring and supervising updating and implementation of RP.

• Preparing quarterly report on RP preparation and implementation and submitting RP to MOIT and WB. In the report it also includes resettlement audit of budget for resettlement allocated and amount of money disbursed.

113. Provincial People’s Committee shall take general responsibilities on resettlement activities within its discretion, including:

• Ensuring updating of unit price for individual and communal properties affected by the project to reflect replacement cost, when necessary;

• Monitoring and giving approval to RP;

• Guiding preparation and implementation of RP

114. District People’s Committee shall take general responsibilities on resettlement activities within its discretion, including:

• Assigning district officer updating and implementing RP.

• Identifying replacement land for affected HH.

• Assisting in resolution of complaints and claims.

• Reviewing RP prior to approval by PPC.

61

115. CPC shall take responsibilities on resettlement activities as below:

• Assigning commune officer to assist DCARB in preparation and implementation of RP

• Undertaking single payment for compensation, assistance to AHHs.

• Identifying land replacement cost for AHHs

• Signing compensation contract forms with affected people.

• Assisting in solving complaits and claims.

62

VII. GRIEVANCE REDRESS MECHANISM

116. Grievances related to any aspect of the Trung Thu Hydropower Plant will be handled through negotiation aimed at achieving consensus. Complaints will pass through 3 stages before these could be elevated to a court of law as a last resort. To ensure that all grievances of those affected on any aspect of land acquisition, compensation, relocation, and determination and payment of entitlements are resolved in a timely and satisfactory manner. 117. The affected individuals will be made fully aware of their rights (both verbally and in writing) during consultations and at each phase of the resettlement process. Detailed procedures for hearing and redressing grievances, including appeal processes, will be made public through an effective public information campaign. 118. The APs will also be made aware of WB’s accountability mechanism policy by providing copies of the accountability field guide, which has been translated into Vietnamese. 119. A four-stage procedure for redress of grievances is proposed: Stage 1: Complaints from APs on any aspect of compensation, relocation or unaddressed losses are in the first instance lodged verbally or in written form with the Commune’s People’s Committee (CPC). The complaint will be discussed in an informal meeting with the APs and the CPC. It will be the responsibility of the CPC to resolve the issue within 15 days from the date the complaint is received.

Stage 2: If no agreement or amicable solution can be reached or if no response is received from CPC’s related officer within 15 days of filing the complaint, the APs can appeal to the District People’s Committee (DPC) in the presence of the district-level Compensation, Assistance and Resettlement Board (CARB) to try to solve within 15 days from the date of receipt the complaint. The APs must lodge the complaint within 30 days of registering the original complaint, and must produce documents that support his/her claim.

Stage 3: If the AP is not satisfied with the decision of the DPC or in the absence of any response, the APs can appeal to the Provincial People’s Committee (PPC). With consultation provided by the Provincial Resettlement and Compensation Committee (PRCC), PCARB and Provincial Department of Natural Resources and Enevironment (DONRE), Provincial Department of Finance (DOF), PPC will provide a decision on the appeal within 30 days from the day it is received. Stage 4: If the APs are still not satisfied with the decision of PPC on appeal, or in the absence of any response within the stipulated time, the APs as a last resort, may submit his/her case to the Provincial Court.

120. The procedure described in these four steps complies with the legal process for resolution of complaints and denounce in Viet Nam. However, this system mainly refers to civil disputes between citizens but not to disputes between citizen and governmental authority. In this view, within internal

63

system of monitoring and evaluation, PMU and PCARB need to records in writing complaints and claims that affected people (APs) have brought forward and final solution on such complaint and claims. In addition, APs shall be exempted every fee relating to administrative and legal procedures. With such complaint and claims, the court also has rights to expempt fees for submission.

121. The External monitoring Agency (EMA) contracted for external monitoring and evaluation will be responsible for checking the procedures for and resolutions of grievances and complaints. The EMA may recommend further measures (if necessary) to be taken to redress unresolved grievances.

64

VIII. MONITORING AND REPORTING

122. The implementation of resettlement will be monitored regularly to help ensure that the RP is implemented as planned and that mitigating measures designed to address adverse social impacts are adequate and effective. Towards this end, resettlement monitoring will be done by an internal body and by an external organization.

A. Internal Monitoring

123. Trung Thu Hydropower JSC will serve as the Project’s internal monitoring body. As such, the It will maintain a file of all data gathered in the field, including a data base on the affected households. Its internal monitoring unit will submit quarterly monitoring report to the PMU starting from the commencement of RP updating, which coincides with the conduct of the detailed measurement survey (DMS) and other RP updating activities. The PMU in turn will include updates on resettlement in its regular Project reports to MOIT and WB. Social monitoring reports will be made available to the affected households and will be submitted to WB for web posting. 124. Internal monitoring and supervision will have the following objectives:

(i) Compensation and other entitlements are computed at rates and procedures as provided in the approved RP, with no discrimination according to gender, membership in an ethnic group or other relevant factors;

(ii) Affected households are paid their compensation and other entitlements as per approved Updated RP, ensuring that all entitlements are delivered as planned and agreed, including compensation in cash or in kind, allowances, replacement land, resettlement sites developed and people moved into them;

(iii) Public information, public consultation and grievance redress procedures are followed as described in the approved updated RP;

(iv) Affected public facilities and infrastructure are restored promptly; and;

(v) The transition between resettlement and commencement of civil works is smooth and that sites are not handed over for civil works until affected households have been satisfactorily compensated, resettled and income restoration programs in place.

B. External Monitoring

125. The general objective of the external monitor is to provide a third party periodic review and assessment of: (i) achievement of resettlement objectives; (ii) changes in living standards and livelihoods; (iii) restoration of the economic and social base of the affected people; (iv) effectiveness, impact and sustainability of entitlements and income restoration programs; and (v) the need for further improvement and mitigation measures. Strategic lessons for future policy formulation and planning will also be drawn from the monitoring and evaluation of resettlement. The draft TOR for external monitoring consultant is in Appendix 3.

65

126. The external monitoring agency or EMA, conducted by an experienced resettlement and social development consultant and selected by PMU (under MOIT). External monitoring, inspection and evaluation will be made on yearly basic except for the first stage, it is requested to be made twice/year. All external monitoring reports will be made available to the affected households by placing repots in commune/ward and field offices and will be uploaded on WB website.

127. The methods for external monitoring and evaluation of land acquisition, compensation and resettlement activities include:

(vi) Review of Detailed Measurement Survey (DMS): As soon as the detailed design is finalized and staked on the ground by Trung Thu Hydropower JSC and CARB, data collection from all APs to establish their eligibility and entitlements will be carried out. The data that will be entered into a database to document the following: a) socio-economic status of affected households; b) nature and extent of losses; and c) entitlements for compensation and other assistance. These data will be made available to the EMA, to enable them to establish a baseline for monitoring and evaluating project benefits. During the conduct of the DMS, the EMA will also monitor the DMS process to determine and assess if DMS activities are being carried out in a participatory and transparent manner

(vii) Socio-Economic Survey (SES): The SES is designed to provide a clear comparison of the success and/or failure of the resettlement program to restore their livelihoods and living standards. In general, if a lag of 3-5 years or more occurs between census and SES and actual land acquisition, demographic and socio-economic factors may change significantly. In this Project, if land acquisition is not carried out within two years after SES, Trung Thu Hydropower JSC and CARBs will carry out another SES. A post resettlement survey will also be undertaken by the EMA 6-12 months following completion of resettlement activities. Special attention will be paid to the inclusion of women, ethnic groups, the very poor, the landless and other vulnerable groups, with set questions for women and other target groups; and, the database disaggregates information by gender, vulnerability and ethnicity.

(viii) Participatory rapid appraisals (PRA): The PRA will involve obtaining information, identifying problems and finding solutions through participatory means including: a) key informant interviews; b) focus group discussions on specific topics such as compensation payment, income restoration and relocation; c) community public meetings to discuss community losses, integration of resettled households in host communities or construction work employment; d) structured direct field observations, for example, of resettlement site development; e) formal and informal interviews with affected households, women, ethnic minority, and other vulnerable groups; and, f) in-depth case studies of problems are identified by internal or external monitoring and required special efforts to resolve

(ix) Verification of Replacement cost survey: The EMA will also verify whether compensation paid were at replacement cost. A special market study to validate whether the rates used in compensation in land and other non-land assets were at replacement cost will be undertaken.

66

128. After being submitted, the EMA reports will be brought out for discussion at meetings between EMA, Trung Thu Hydropower JSC and CARBs. Necessary remedial actions will be taken and documented.

Table VIII-1 Monitoring and Evaluation Indicators

Type Indicator Examples of Variables

Process

Indicators

(by district and commune)

Staffing Number of Trung Thu Hydropower JSC and field staff on Project, by job function; and

Number of other line agency officials available for tasks

Consultation, Participation and Grievance Resolution

Number of consultation and participation programs held with various stakeholders;

Separate consultation with women ( Kinh), female headed households and ethnic minority women;

Grievances by type and resolution;

Number of field visits by EPMU staff; and

Number of local organizations participating in project Procedures in Operation Review of DMS including verification/quantification

procedures in place and effectiveness of compensation delivery system;

Number of land transfers effected; and

Coordination among Trung Thu Hydropower JSC, relevant provincial departments, and provincial and district officials,

Output Indicators


Acquisition of Land Area of productive land assets acquired (crop land, aquaculture ponds, garden land, etc.);

Area of residential and other non-agricultural lands acquired;

Area of communal/government lands acquired; and

Area of other lands acquired. Structures Number, type and size of private structures acquired;

Number, type and size of community structures acquired; and

Number, type and size of government structures acquired. Trees and Crops Number and type of private crops and trees acquired;

Number and type of government/community crops and trees acquired; and

Crops destroyed by area, type and number of owners. Đền bù và tái định cư Number of households affected (for land, buildings, trees,

crops);

Number of owners compensated by type of loss;

Amount compensated by type and owner;

Number and amount of allowances paid;

67


Number of replacement houses constructed by concerned owners;

Number of replacement businesses constructed by concerned owners;

Number of owners requesting assistance to purchase replacement land, and number of purchases effected;

Number of individual sites and levels of development of sites;

Number of entitlements delivered;

Number of entitlements used by APs;

Suitability of entitlements to affected households as per RP objectives; Number of non-titled AHHs receiving replacement land; and Number of severely affected, very poor or other vulnerable households receiving special assistance and participating in income restoration programs.

Impact

Indicators


Household Earning Capacity

Employment status of economically active members;

Landholding size, area cultivated and production volume, by crop;

Selling of cultivation land;

Changes to livestock ownership – pre- and post disturbance;

Changes to income-earning activities (farm and off-farm) – pre- and post disturbance; and

Amount and balance of income and expenditures. Changes to Status of

Women Commune/Village Resettlement Committees include Women’s Union and Women from affected households;

Involvement of women in the process of preparation of IOL;

Number of grievance complaint filed by women and resolution Number of women (including female headed households and ethnic minority women) negotiated compensation effectively; Joint registration of land in the name of husband and wife;

Number of meetings held by women from affected households in planning of livelihood activities; Number of women engaged in gainful livelihood activities/income earning activities/employment in Industrial zones (including female headed households and ethnic minority women);

Number of women participated in capacity building workshop/ training;

Number of women understand the process of resettlement

68


activities ( entitlement, compensation process, etc);

Number of women participated in discussion of resettlement site selection;

Participation in commercial enterprises; and

Participation in community decision-making Changes to Status of

Children School attendance rates (male/female); and

Participation in plant construction. Settlement, Community

and Population Growth in number and size of settlements;

Growth in market areas;

Influx of new settlers, including those with and without land rights;

Changes in economic activities and income-generation opportunities; and

Changes in social, cultural and community conditions.

69

IX. BUDGET AND FINANCIAL SCHEDULE

129. Total compensation and assistance cost or impacts caused by Trung Thu Hydropower Plant construction is VND15,349,312,320 (equal to USD730,919.6), including (i) compensation and assistance, (ii) implementation management cost of 2%, be noted that the rate even higher for typically difficult districts will be applied so the practical rate shall be based on actual implementation, (iii) contingency cost 10%, (vi) external monitoring agency cost, and (v) replacement cost survey. 130. The above total cost excludes (i) further assistance for vulnerable HHs (157 HHs), (ii) cost for implementation of dissemination campaigns to raise up living skills resulting from these cost items (VND143,000,000) which will be implemented via EMDP. Total cost for implementation of resettlement plan will be paid by Trung Thu Hydropower JSC. Table X-1 describes in details compensation costs for impacts caused by the plant.

Table IX-1 Summary of resettlement costs

Item Unit Unit price

(VNĐ)

Quantity/HH Amount (VNĐ)

Compensation cost for land

acquisition

1,943,900,000

Residential land m2 0.0 0 Land for annual crops m2 10,000 194,390.0 1,943,900,000 Land for perennial trees m2 0.0 0 Forest land m2 0.0 0 Compensation cost for main

structures (houses)

0 0.0 0

Compensation cost for auxiliary

facilities

0

Compensation cost for trees and

crops

1,209,486,000

Annual crops m2 3000VNĐ & 7000 VNĐ

194,390.0 1,209,486,000

Perennial trees Tree 0.0 0 Timber trees Tree 0.0 0 Compensation cost for public

structures

250,000,000

Nam Nen bridge 100,000,000 1.0 100,000,000 Hydrometeorology station station 150,000,000 1.0 150,000,000 Total compensation cost 3,403,386,000

Assistances 10,033,500,000

70

Item Unit Unit price

(VNĐ)

Quantity/HH Amount (VNĐ)

Chaniging and Job generation

m2 50,000 194,390.0 9,719,500,000

Providing progress Bonus household 2,000,000 157.0 314,000,000

Total direct compensation and

assistance costs

13,436,886,000

Implementation Management cost (2%)

268,737,720

Contingency (10%) 1,343,688,600

External monitoring cost provision sum

200,000,000

Replacement cost survey provision sum

100,000,000

TOTAL COMPENSATION COST - PROVISION SUM 15,349,312,320

(Note: This total includes VND 1,238,120,000 which has been used to pay for compensation, assistance

to 67 households previously, as described in Chapter II and Chapter VI)

71

ANNEXES

ANNEX 1 LIST OF AHs – TRUNG THU HYDROPOWER PROJECT .................................... 72

ANNEX 2 PROJECT INFORMATION BOOKLET (PIB) .......................................................... 89

ANNEX 3 TERMS OF REFERENCE ............................................................................................ 94

ANNEX 4 CONSULTATION MEETING MINUTES ................................................................ 100

ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS ............................................. 122

72

ANNEX 1 LIST OF AHs – TRUNG THU HYDROPOWER PROJECT

I – LIST OF 157 AHs

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

Total 2.968.5

00

194.39

0

1 Bắc Cần Nam Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

7.400 143

2 Sìn Văn Chính Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

Disable Headed HH

12.000 107

3 Sìn Thị Bông Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

8.700 120

4 Khoàng Văn Nhi

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

10.300 108

5 Sìn Văn Lương

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

3.700 108

6 Sìn Văn Phiếu Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

Disable Headed HH

28.600 155

7 Sìn Văn Xum Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

15.500 120

8 Lường Văn Nị Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

12.400 156

9 Lương Văn Danh

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

4.500 140

10

Sìn Văn Cao Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

7.300 129

11

Sìn Thị Mịnh Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

Single Female Headed HH

20.300 140

12

Khoàng Văn Kẻo

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

6.500 363

13

Sìn Thị Bắc Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH


5.400 106

14

Sìn Thị Pháng Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH


7.300 144

73

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

15

Khoàng Văn Cốt

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

6.500 167

16

Sìn Văn Toán ( Lường Văn Ky)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

4.700 102

17

Lò Văn Lá ( Lường Văn Trái)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

8.000 232

18

Lò Văn Tiến Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

9.300 138

19

Khoàng Văn Bum ( Sìn Văn Thu)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

4.700 102

20

Lò Văn Thành ( Sìn Văn Lương)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

3.700 108

21

Bắc Cần Nam( Sìn Văn Định)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

10.000 99

22

Lò Văn Bin ( Sìn Văn Đim)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

41.400 347

23

Sìn Thị Thúm Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

6.000 265

24

Khoàng Thị Loan

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH


7.400 132

25

Khoàng Văn Hò

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

5.900 171

26

Khoàng Văn Sơn

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

14.300 114

27

Sìn Trọng Định ( Sìn Văn Đăm)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

28.200 422

28

Khoàng Văn Han

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

8.300 224

29

KHoàng Văn Một

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

5.000 130

3 Cao Đăng Phiêng Nậm Mường Khán Poor

10.300 209

74

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

0 Minh đất A Nèn Chà g HH

31

Khoảng Văn Kẻo ( Lý Văn Phương)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

10.700 72

32

Lò Văn Chung Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

8.000 207

33

Sìn Văn Thơi Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

8.000 241

34

Khoàng Thị Hạc ( Lò Văn Như)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH


88.400 7.093

35

SÌn Văn Niêm Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

29.100 309

36

Sìn Thị Thi ( Lò Văn Đức)

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH


4.500 70

37

Lò Văn Luyên Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

10.500 150

38

Khoàng Văn Luyến

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

10.200 133

39

Khoàng Thế Nguyên

Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

5.300 87

40

Sìn Văn Đăng Phiêng đất A

Nậm Nèn

Mường Chà

Kháng

Poor HH

28.200 422

41

Điêu Văn Quyên

Mường Anh I

Pa Ham Mường Chà

Thái Poor HH

5.000 301

42

Điêu Văn Dụng

Mường Anh I


Thái

4.500 72

43

Điêu Văn Dũng

Mường Anh I


Thái

10.500 710

44

Lù Văn Tức Mường Anh I


Thái Poor HH

5.700 111

45

Lù Văn Tám Mường Anh I


Thái Poor HH

6.800 110

46

Mào Văn Vén Mường Anh I


Thái

11.200 713

75

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

47

Mào Văn Dâm Mường Anh I


Thái

29.600 2.725

48

Lù Văn Chơ Mường Anh I


Thái

34.700 2.935

49

Lò Văn Ngân Mường Anh I


Thái Poor HH

24.600 1.913

50

Lò Văn Chiếm Mường Anh I


Thái Poor HH

40.800 2.970

51

Lò Văn Đim Mường Anh I


Thái Poor HH

3.000 117

52

Lò Văn Hiếng Mường Anh I


Thái Poor HH

14.500 219

53

Lò Văn Hom Mường Anh I


Thái Poor HH

6.400 128

54

Lò Văn Mai Mường Anh I


Thái

5.800 191

55

Lò Văn Nam Mường Anh I


Thái

16.500 1.448

56

Điêu Văn Túy Mường Anh II


Thái Poor HH

15.000 999

57

Lò Văn Chân Pa Ham 2


Thái Poor HH

23.000 1.489

58

Lò Văn Tình Pa Ham 2


Thái Poor HH

17.300 657

59

Lò Văn Ngới Pa Ham 2


Thái

10.000 870

60

Lò Văn Nguýn Pa Ham 2


Thái

10.400 782

61

Lò Văn Lê Pa Ham 1


Thái Poor HH

48.000 3.262

62

Lò Thị Thương ( Lò Văn Sặn)

Mường Anh II


Thái Poor HH


25.300 1.380

63

Lù Văn Sấm Mường Anh II


Thái Poor HH

40.900 2.073

6 Tòng Văn Tới Pa Ham Pa Ham Mường Thái Poor

1.000 81

76

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

4 2 Chà HH

65

Lò Văn Chú ( Điêu Văn Văn)

Pa Ham 2


Thái

7.300 335

66

Lò Văn Co Pa Ham 2


Thái Poor HH

28.000 3.131

67

Lò Văn Mỉn Pa Ham 2


Thái

13.000 1.058

68

Lò Thị Hoa Pa Ham 2


Thái Poor HH


16.000 1.490

69

Lò Văn Chắm Pa Ham 1


Thái

25.600 1.659

70

Lò Văn Ứng Pa Ham 1


Thái Poor HH

10.600 238

71

Lò Văn Thu Pa Ham 1


Thái Poor HH

15.700 1.455

72

Lò Văn Huyn Pa Ham 1


Thái Poor HH

20.000 1.834

73

Lò Văn Khuyến

Pa Ham 2


Thái

15.000 549

74

Lò Văn Khuyn Pa Ham 1


Thái Poor HH

39.100 4.590

75

Lò Văn Thơm Pa Ham 2


Thái

13.200 661

76

Vùi Văn Bỏ Mường Anh I


Thái Poor HH

6.500 151

77

Lò Văn Thiết Mường Anh I


Thái Poor HH

9.300 818

78

Lò Văn Tín ( Lò Văn Hòa)

Mường Anh II


Thái Poor HH

7.300 548

79

Lò Văn Ủn ( Lò Văn Cung)

Pa Ham 2


Thái

16.600 1.436

80

Mào Thị Vớn ( Lò Văn Chuyên)

Pa Ham 2


Thái Poor HH


10.400 328

77

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

81

Lò Thị Von Mường Anh II


Thái Poor HH


25.000 2.230

82

Lò Văn Định Mường Anh I


Thái Poor HH

16.600 407

83

Lò Văn Đại Mường Anh II


Thái Poor HH

17.000 926

84

Tòng Văn Phe Pa Ham 2


Thái Poor HH

13.900 1.008

85

Lò Văn Ngân (Lò Văn Chiêm)

Pa Ham 1


Thái Poor HH

21.000 1.663

86

Tòng Văn Ban Mường Anh I


Thái

20.800 1.883

87

Lò Văn Ngai ( Lò Văn Chấn)

Mường Anh II


Thái Poor HH

26.000 1.795

88

Lò Văn Ương Mường Anh II


Thái Poor HH

22.900 926

89

Khoàng Văn Hoạt ( Lò Văn Căm)

Mường Anh II


Thái Poor HH

18.700 1.142

90

Lò Văn Bun Mường Anh II


Thái

13.000 968

91

Lò Văn Hán Mường Anh I


Thái

Elder Headed HH

12.000 766

92

Lò Văn Pinh Mường Anh II


Thái Poor HH

25.200 2.452

93

Lò Văn Sóng Mường Anh II


Thái Poor HH

14.600 836

94

Lò Văn Cóp Mường Anh I


Thái Poor HH

12.000 767

95

Lò Văn Ngơu Pa Ham 1


Thái Poor HH

17.000 1.570

96

Lò Văn Sâu ( Lò Văn Cái)

Pa Ham 2


Thái

10.200 503

9 Tòng Văn Túi Mường Pa Ham Mường Thái Poor

9.500 57

78

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

7 Anh II Chà HH

98

Mào Văn Dum (Lò Thị Học)

Mường Anh II


Thái

20.400 1.384

99

Lò Văn Núi Mường Anh I


Thái Poor HH

94.900 8.018

100

Điêu Văn Túy Pa Ham 1


Thái Poor HH

10.000 593

101

Lò Văn Sơi Mường Anh I


Thái Poor HH

18.600 1.478

102

Lò Văn Cơi Mường Anh I


Thái

18.300 1.370

103

Lò Văn Đòi Mường Anh II


Thái Poor HH

23.000 710

104

Lò Văn Thới Pa Ham 2


Thái

16.200 1.309

105

Lò Văn Vin Mường Anh II


Thái

58.800 5.516

106

Lò Văn Chơ Mường Anh II


Thái

16.300 971

107

Lò Văn Ánh Mường Anh II


Thái Poor HH

6.500 571

108

Lò Văn Bái Mường Anh II


Thái

34.700 3.048

109

Điêu Văn Khiêm

Mường Anh II


Thái

25.000 2.032

110

Lù Văn Dương (Khoàng Văn

Pa Ham 2


Thái

3.500 34

79

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

Khuýnh)

111

Lò Văn Nợi Pa Ham 2


Thái Poor HH

8.800 378

112

Lò Văn Phá Mường Anh II


Thái Poor HH

12.300 539

113

Lò Văn Sinh Mường Anh II


Thái Poor HH

11.300 467

114

Lò Văn Trịnh Mường Anh II


Thái Poor HH

9.300 400

115

Tòng Văn Thính

Pa Ham 1


Thái

24.300 1.901

116

Tòng Văn Nghiên

Mường Anh II


Thái Poor HH

8.000 41

117

Lò Thị Linh Mường Anh II


Thái Poor HH


24.300 1.994

118

Lò Văn Diêm Mường Anh II


Thái

20.500 1.298

119

Lò Văn Pưng Mường Anh II


Thái

15.400 941

120

Tòng Văn Quyn

Mường Anh II


Thái Poor HH

16.700 1.457

121

Lò Văn Inh Pa Ham 1


Thái Poor HH

9.000 249

122

Lò Văn Khuýnh

Pa Ham 1


Thái Poor HH

3.500 136

1 Lò Văn Liến Pa Ham Pa Ham Mường Thái

7.400 201

80

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

23

1 Chà

124

Lò Văn Loan Pa Ham 1


Thái Poor HH

6.500 214

125

Lò Văn Minh Pa Ham 2


Thái

9.400 342

126

Lò Văn Nhơn Pa Ham 2


Thái

6.600 161

127

Lò Văn Nước Pa Ham 2


Thái

15.300 90

128

Lò Văn Oan Pa Ham 1


Thái

10.500 699

129

Lò Văn Quạn Mường Anh II


Thái

33.600 2.626

130

Lò Văn Quýnh Pa Ham 1


Thái

18.300 676

131

Lò Văn Sâm Mường Anh 1


Thái Poor HH

15.600 429

132

Lò Văn So Mường Anh 1


Thái Poor HH

12.500 611

133

Lò Văn Sương Mường Anh II


Thái Poor HH

8.500 150

134

Lò Văn Thịnh Mường Anh II


Thái

11.600 294

135

Lò Văn Thức Pa Ham 1


Thái

16.400 1.393

81

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

136

Lò Văn Tiến Pa Ham 2


Thái

15.400 1.135

137

Lò Văn Úy Mường Anh II


Thái

12.600 940

138

Lò Văn Viến Pa Ham 1


Thái

19.400 1.664

139

Lò Văn Vinh Pa Ham 1


Thái

19.400 1.850

140

Lò Văn Thâm Pa Ham 1


Thái

5.700 68

141

Nguyễn Văn Tân

Pa Ham 2


Thái

13.400 552

142

Vùi Văn Len Mường Anh I


Thái

21.200 1.031

143

Cư A Phỏng Vàng Chua

Sính Phình

Tủa Chùa

H ' Mông

Poor HH

8.000 697

144

Thào A Dì Vàng Chua

Sính Phình

Tủa Chùa

H ' Mông

58.000 5.680

145

Thào A Tùng Vàng Chua

Sính Phình

Tủa Chùa

H ' Mông

Poor HH

8.000 345

146

Thào A Chử Vàng Chua

Sính Phình

Tủa Chùa

H ' Mông

79.000 7.783

147

Sùng A Vừ Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

60.600 5.323

14

Vàng Sía Sinh Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

20.500 1.247

82

# Name of

Head of AHs Village

Commu

ne District

Vulnerable group

Total

of area

Land

acquisi

tion

area EM Poor Others

8

149

Giàng A Khoa Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

45.000 4.066

150

Vàng A Phía Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

50.600 4.672

151

Giàng Tráng Hờ

Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

70.700 6.675

152

Thào A Páo Pôcadao Trung Thu

Tủa Chùa

H ' Mông

30.400 2.559

153

Lý A Cầu Pôcadao Trung Thu

Tủa Chùa

H ' Mông

25.000 1.763

154

Vàng A Chia Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

45.000 1.433

155

Vàng Sáy Sình Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

34.800 2.930

156

Vàng Sáy Sinh Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

98.000 11.785

157

Hà A Xè Pôcadao Trung Thu

Tủa Chùa

H ' Mông

Poor HH

60.000 5.251

Total

2.968.5

00

194.39

0

83

II – LIST OF AHs RECEIVED COMPENSATION PAYMENT BY CONSTRUCTION ITEM

# Name of

Head of HH Village

Commune

District

Compensation payment

Land

acquisition area

(m2)

Land Crop

Allowance

(Bonus for timely

handover of land)

Total of compensati

on

SUM (I+II+III+IV) 109573,1

1.114.578.6

00

6.000.

000 116.711.000

1.238.120.00

0

I Compensation for area of the plant and camps 25920,3 259.203.000 6.000.

000 19.516.600 284.719.600

1 Lù Văn Hòa Mường Anh 2

Pa Ham

Mường Chà

142,5 1.425.000

285.000 1.710.000

2 Lò Văn Hăn Mường Anh 1

Pa Ham

Mường Chà

487,9 4.879.000

975.800 5.854.800

3 Lò Văn Chắm Pa Ham 1 Pa Ham

Mường Chà

3.203,5 32.035.000

2.000.000 34.035.000

4 Tòng Văn Thính

Pa Ham 1 Pa Ham

Mường Chà

6.428,2 64.282.000

2.000.000 66.282.000

5 Lò Văn Trường

Pa Ham 2 Pa Ham

Mường Chà

2706 27.060.000

2.000.000 29.060.000

6 Lò Văn Ổn Pa Ham 2 Pa Ham

Mường Chà

6.206,8 62.068.000 6.000.

000 2.000.000 70.068.000

7 Lù Văn Thâm Pa Ham 1 Pa Ham

Mường Chà

403,5 4.035.000

807.000 4.842.000

8 Lò Văn Sặn Pa Ham 2 Pa Ham

Mường Chà

863,4 8.634.000

1.726.800 10.360.800

9 Lò Văn Tình Pa Ham 2 Pa Ham

Mường Chà

199,9 1.999.000

399.800 2.398.800

10 Lò Văn Pưng Pa Ham 2 Pa Ham

Mường Chà

1.666,2 16.662.000

2.000.000 18.662.000

11 Lò Văn Ngân Pa Ham 1 Pa Ham

Mường Chà

1.475,3 14.753.000

2.000.000 16.753.000

12 Tòng Văn Phe Pa Ham 2 Pa Ham

Mường Chà

1476 14.760.000

2.000.000 16.760.000

13 Tòng Văn Quỵn

Pa Ham 2 Pa Ham

Mường Chà

661,1 6.611.000

1.322.200 7.933.200

II Construction of the road to the plant 73.424,5 753.573.00

0 94.376.600

848.780.00

0

84

# Name of

Head of HH Village

Commune

District


Land acquisiti

on area (m2)

Land Crop

Allowance

(Bonus for timely

handover of land)

Total of compensati

on

1 Điêu Văn Túy Pa Ham 1 Pa Ham

Mường Chà

593,3 5.933.000

1.186.600 7.119.600

2 Lò Văn Huyn Pa Ham 1 Pa Ham

Mường Chà

1.833,8 18.338.000

2.000.000 20.338.000

3 Lò Văn Thu Pa Ham 1 Pa Ham

Mường Chà

1.454,5 14.545.000

2.000.000 16.545.000

4 Lò Văn Khuyn Pa Ham 1 Pa Ham

Mường Chà

4.212,8 42.128.000

2.000.000 44.128.000

5 Lò Văn Chắm Pa Ham 1 Pa Ham

Mường Chà

1.257,2 12.572.000

2.000.000 14.572.000

6 Lò Văn Inh Pa Ham 1 Pa Ham

Mường Chà

248,6 2.486.000

497.200 2.983.200

7 Lò Văn Lê Pa Ham 1 Pa Ham

Mường Chà

1.491,8 14.918.000

2.000.000 16.918.000

8 Lò Văn Ứng Pa Ham 1 Pa Ham

Mường Chà

237,8 2.378.000

475.600 2.853.000

9 Lò Văn Tình Pa Ham 1 Pa Ham

Mường Chà

656,5 6.565.000

1.313.000 7.878.000

10 Lò Văn Vinh Pa Ham 1 Pa Ham

Mường Chà

1.849,8 18.498.000

2.000.000 20.498.000

11 Lò Văn Viến Pa Ham 1 Pa Ham

Mường Chà

1.664,2 16.642.000

2.000.000 18.642.000

12 Lò Văn Liến Pa Ham 1 Pa Ham

Mường Chà

201,4 2.014.000

402.000 2.416.800

13 Lò Văn Ương Mường Anh 2

Pa Ham

Mường Chà

341,6 3.146.000

629.000 3.775.200

14 Lò Văn Nguýn Pa Ham 2 Pa Ham

Mường Chà

782 7.820.000

1.564.000 9.384.000

15 Lò Văn Ngới Pa Ham 2 Pa Ham

Mường Chà

869,5 8.695.000

1.379.000 10.434.000

16 Lò Văn Chú Pa Ham 2 Pa Ham

Mường Chà

1.489,2 14.892.000

2.000.000 16.892.000

17 Lò Văn Mỉn Pa Ham 2 Pa Ham

Mường Chà

1.058,1 10.581.000

2.000.000 12.581.000

18 Lò Thị Hoa Pa Ham 2 Pa Ham

Mường Chà

1.489,5 14.895.000

2.000.000 16.895.000

85

# Name of

Head of HH Village

Commune

District


Land acquisiti

on area (m2)

Land Crop

Allowance

(Bonus for timely

handover of land)

Total of compensati

on

19 Lò Văn Khuyến

Pa Ham 2 Pa Ham

Mường Chà

432,8 4.328.000

865.600 5.193.600

20 Lò Văn Thới Pa Ham 2 Pa Ham

Mường Chà

1.309,3 13.093.000

2.000.000 15.093.000

21 Lò Văn Chân Pa Ham 2 Pa Ham

Mường Chà

1.794,9 17.949.000

2.000.000 19.949.000

22 Lò Văn Thiết Mường Anh 1

Pa Ham

Mường Chà

818 8.180.000

1.636.000 9.816.000

23 Lò Văn Ngân Mường Anh 1

Pa Ham

Mường Chà

800,5 8.005.000

1.601.000 9.606.000

24 Lò Văn Cơi Mường Anh 1

Pa Ham

Mường Chà

1.369,1 13.691.000

2.000.000 15.691.000

25 Lò Văn Định Mường Anh 1

Pa Ham

Mường Chà

665,8 6.658.000

1.331.600 7.989.600

26 Lò Văn Cóp Mường Anh 1

Pa Ham

Mường Chà

767,3 7.673.000

1.534.600 9.207.600

27 Mào Văn Giáp Mường Anh 1

Pa Ham

Mường Chà

2.724,6 27.246.000

2.000.000 29.246.000

28 Bùi Văn Pỏ Mường Anh 1

Pa Ham

Mường Chà

150,7 1.507.000

301.400 1.808.400

29 Lò Văn Chiêm Mường Anh 1

Pa Ham

Mường Chà

1.663,2 16.632.000

2.000.000 18.632.000

30 Lò Văn Sơi Mường Anh 1

Pa Ham

Mường Chà

1.477,9 14.779.000

2.000.000 16.779.000

31 Tòng Văn Ban Mường Anh 1

Pa Ham

Mường Chà

1.883,4 18.834.000

2.000.000 20.834.000

32 Lò Văn Núi Mường Anh 1

Pa Ham

Mường Chà

1.737,3 17.373.000

2.000.000 19.373.000

33 Lò Văn Hom Mường Anh 1

Pa Ham

Mường Chà

127,6 1.276.000

255.200 1.531.200

34 Lù Văn Thâm Mường Anh 1

Pa Ham

Mường Chà

661 6.610.000

1.322.000 7.932.000

35 Lò Văn Sâm Mường Anh 1

Pa Ham

Mường Chà

428,6 4.286.000

857.200 5.143.200

36 Lò Văn Nam Mường Anh 1

Pa Ham

Mường Chà

1.447,9 14.479.000

2.000.000 16.479.000

86

# Name of

Head of HH Village

Commune

District


Land acquisiti

on area (m2)

Land Crop

Allowance

(Bonus for timely

handover of land)

Total of compensati

on

37 Lò Văn Đại Mường Anh 2

Pa Ham

Mường Chà

925,9 9.259.000

1.581.800 11.110.800

38 Lù Văn Chơ Mường Anh 2

Pa Ham

Mường Chà

971,1 9.506.000

1.942.200 11.448.200

39 Điêu Văn Khiến

Mường Anh 2

Pa Ham

Mường Chà

2.031,6 20.316.000

2.000.000 22.316.000

40 Lò Văn Bái Mường Anh 2

Pa Ham

Mường Chà

3.047,8 30.478.000

2.000.000 32.478.000

41 Lò Văn Sinh Mường Anh 2

Pa Ham

Mường Chà

468,8 4.688.000

937.600 5.625.600

42 Lò Văn Vin Mường Anh 2

Pa Ham

Mường Chà

5.516,1 55.161.000

2.000.000 57.161.000

43 Lò Thị Von Mường Anh 2

Pa Ham

Mường Chà

229,1 22.294.000

2.000.000 24.294.000

44 Lò Văn Trịnh Mường Anh 2

Pa Ham

Mường Chà

400,1 4.001.000

800.200 4.801.200

45 Lò Văn Đôi Mường Anh 2

Pa Ham

Mường Chà

710,1 7.101.000

1.420.200 8.521.200

46 Lò Văn Quạn Mường Anh 2

Pa Ham

Mường Chà

1.465,3 14.453.000

2.000.000 16.653.000

47 Lò Văn Diêm Mường Anh 2

Pa Ham

Mường Chà

1.297,9 12.979.000

2.000.000 14.979.000

48 Lò Văn Sặn Mường Anh 2

Pa Ham

Mường Chà

1.379,9 13.799.000

2.000.000 15.799.000

49 Lù Văn Sấm Mường Anh 2

Pa Ham

Mường Chà

1.519,5 15.195.000

2.000.000 17.195.000

50 Lò Thị Lịnh Mường Anh 2

Pa Ham

Mường Chà

1.993,7 19.937.000

2.000.000 21.937.000

51 Tòng Văn Túi Mường Anh 2

Pa Ham

Mường Chà

57 570.000

114.000 684.000

52 Lò Văn Bun Mường Anh 2

Pa Ham

Mường Chà

968,4 9.684.000

1.936.800 11.620.800

53 Lò Văn Hăn Mường Anh 2

Pa Ham

Mường Chà

765,6 7.656.000

1.531.200 9.187.200

54 Lò Văn Pưng Mường Anh 2

Pa Ham

Mường Chà

941,4 9.414.000

1.882.800 11.296.800

87

# Name of

Head of HH Village

Commune

District


Land acquisiti

on area (m2)

Land Crop

Allowance

(Bonus for timely

handover of land)

Total of compensati

on

55 Tòng Văn Phe Mường Anh 2

Pa Ham

Mường Chà

1.007,5 10.075.000

2.000.000 12.075.000

56 Tòng Văn Quyn

Mường Anh 2

Pa Ham

Mường Chà

1.457,2 14.572.000

2.000.000 16.572.000

57 Tòng Văn Thính

Mường Anh 2

Pa Ham

Mường Chà

1.900,9 19.009.000

2.000.000 21.009.000

58 Lò Văn Phá Mường Anh 2

Pa Ham

Mường Chà

539,4 5.394.000

1.078.800 6.472.800

59 Lò Thị Học Mường Anh 2

Pa Ham

Mường Chà

1.838,7 18.387.000

2.000.000 20.387.000

IV Management house 9.819,4 98.194.000

2.000.000 100.194.00

0

1 Lù Văn Chơ Mường Anh 2

Pa Ham

Mường Chà

2935,6 29.356.000

29.356.000

2 Lò Văn Núi Mường Anh 1

Pa Ham

Mường Chà

3421 34.210.000

34.210.000

3 Lò Văn Lê Pa Ham 1 Pa Ham

Mường Chà

1.769,9 17.699.000

17.699.000

4 Lò Văn Ngơn Pa Ham 1 Pa Ham

Mường Chà

1570 15.700.000

2.000.000 17.700.000

5 Lò Văn Chú Pa Ham 2 Pa Ham

Mường Chà

122,9 1.229.000

1.229.000

IV Area of lines connected to the plant 408,9 3.608.600

817.800 4.426.400

1 Lò Văn Sóng Mường Anh 2

Pa Ham

Mường Chà

12,5 125.000

25.000 150.000

2 Lò Văn Chiếm Mường Anh 1

Pa Ham

Mường Chà

150,2 1.502.000

300.400 1.802.400

3 Lò Văn Sương Mường Anh 2

Pa Ham

Mường Chà

6 60.000

12.000 72.000

4 Vàng Sáy Sình Pa Ca Dao

Trung Thu

Tủa Chùa

240,2 1.921.600

480.400 2.402.000

Note:

1. Total of AHs: 157 HHs, including HHs received compensation for items. 2. Total of land acquisition area of HHs: 194,390 m2, included the areas have been compensated

by construction item: 109,753.3m2

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3. Time of compensation: � Compensation for the factory, substructures and road (first phase): October 2011 � Compensation for area of the plant, management house and camps: The end of February 2011 � Compensation for constructing the road to the plant: The end of May 2014 � Compensation for area of lines connected to the plant: June 2014.

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ANNEX 2 PROJECT INFORMATION BOOKLET (PIB)

MINISTRY OF INDUSTRY AND TRADE

TRUNG THU HYDROPOWER JOINT STOCK

COMPANY

SOCIALIST REPUBLIC OF VIETNAM

Independent – Freedom - Happiness

PROJECT INFORMATION BOOKLET

TRUNG THU HYDROPOWER PROJECT

Dien Bien province

Introduction to Trung Thu Hydropower Project.

Trung Thu Hydropower Project will take advantages of natural flow on Nam Muc river. It is located in the central junction near to Nam Muc estuary flowing into Da river in Pa Ham commune, Muong Cha district and Trung Thu commune and Tua Chua district of Dien Bien province, a way 3km from highway no.6 (the way from Tuan Giao to Lai Chau), and far away 14km from interflow of Nam Muc river flowing out Da river and 12km from Nam Muc hydropower plant towards upstream side.

The construction items of Trung Thu Hydro Power Project consist of a Nam Muc reservoir with an area of 290.2ha and a capacity of 30.7 cubic meters;

Major items of the Trung Thu hydropower project consist of reservoir on Nam Muc river with an area of 290.2ha, capacity of 30.7 cubic metres; The construction complex consists of a gravity water-raising dam with a dimension of 252m x 45m and a spillway dam with height of 45m; Shore energy system includes water collecting gate, a pressure tunnel with 25m in length, a open-typed hydropower plant behind the dam with a capacity of 30MW. The open-typed distribution station with an area of 16x25m plans to be built on the upstream position of the plant with a height of 243m.

The Trung Thu Hydropower Plant has been contructed for 2.5 years (from 2014 to 2016), in which pre-construction phase will be prepared for the last 6 months of 2014, and planed to begin construction in January 2015 and completed in December 2016.

Trung Thu Hydropower JSC will be main responsible for constructing and managing to operate the plant. Implementation budget for this construction will be financed by World Bank (WB).

Table 1 – Implementaion Progress of RP

Activities Progress

Information dissemination and community consultation June 2014 - July2014

Preparing the Resettlement Plan (RP) June 2014 - July2014

Submitting the Resettlement Plan (RP) July 2014

Approving the Resettlement Plan (RP) December 2014

Information dissemination affer RP to be approved January 2015

Making compensation and allowances payment January – March 2015

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Scope of land and assets acquisition for the project. Most of the land acquisition area are to serve the construction of reservoirs, and to build the plant, access road, and other auxiliary components. For the Trung Thu hydropower plant, about 2,900,000 m2 of land area of 5 CPCs and 157 households will be affected under Muong Cha and Tua Chua district. In addition, some public works will also be affected, but not significant.

Table 2 – Summary of affected by the project

Item Unit Total AHs/CPC

Land

Non-agricultural land

Residential land m2 0 0

Specific-used land m2 2.000 1 CPC

Rivers, streams and surface water for special purposes

m2 2.705.610 5 CPCs

Agricultural land

Annual crop land m2 194,390 157 HHs

Perennial tree land m2 0 0

Forest land m2 0 0

Total area of affected land

157 HHs/ 5

CPCs

Buildings and structures

House and substructure

0 0

Trees and crops

Annual crop m2 194.390 157

Perennial tree m2 0 0

Timber tree m2 0 0

Public works

Land managed by CPC m2 2.705.610 5 CPCs

Nam Nen bridge

unit 1

Road No.1

company

Hydrological station

Station 1

Hydromete

orological

Center of

Dien Bien

province

Monitoring and Evaluation January 2015 - June 2016

91

Item Unit Total AHs/CPC

Total of affected households

Total of AHs Hộ

157

Displaced household

0

AHs with > 10% of production land Hộ

0

Vulnerable groups

Single female headed households Hộ

2

Disable headed households Hộ

2

Poor households Hộ

101

EM households Hộ

157

Ederly headed households Hộ

0

What will happen to AHs with the damaged assets and livelihoods income? People affected by the project will be compensated in cash at replacement cost for land and assets on land (such as houses, trees, crops ...) and other assistances, including assistance for livelihood restoration depending on the severity of impacts.

What are entitlements of project affected households? PPC of Dien Bien province issued the Decision No.01/2010/QD-UBND dated 18 January 2010, Decision No.15/2011/QD-UBND dated 30 May 2011 and Decision No.23/2013/QD-UBND dated 30 December 2013 after the factors impacting to market cost, replacement cost for land and assets on land compensation have been reviewed.

Table 3 – Summary of entitlements of the project

No. Type of impacts Policy

1

Loss of Income/Livelihood due to loss of productive land

Assistance for life stabilization and job creation

• Support equivalent 5 times of agricultural land price of recovered agriculture land – not depend on percentage of land acquisition (Supported area does not exceed the land allocation quota of local)

• Also, additional assistance for AHs as follows:

� losing from 30% to 70% of total area of agriculture land: 30 kg of rice per person per month for 6 months if not relocating and 30 kg of rice per person per month for 24 months if relocating;

� Losing more than 70% of total area of agriculture land: 30 kg of rice per person per month for 12 months if not relocating and 30 kg of rice per person per month for 236 months if relocating.

In the case of compensation “land for land”.

• With AHs compensated in land, assistance for production will be 5,000,000 VND/peson under working age; for household with

92


members, each person will be assisted plus 2,000,000 VND from the second member.

2 Loss of house and have to relocate

Assistance for transporting materials

• Moving within a province, not more than 20km: support with 3,000,000 VND/HH

• Moving within a province, distance more than 20km: support with 5,000,000 VND/HH

• Moving to the other provinces: if nothern provinces, support with 8,000,000 VND/HH; if central and southern provinces, support with 10,000,000 VND/HH.

Assistance for renting house

• Cash assistance as follows: (i) HHs with less than 5 members: 800,000 VND/month; (ii) HHs with more than 5 members: 1,000,000 VND/month; and HHs with single person: 600,000 VND/month.

• Time of assistance: from handing over their acquired land to the Client until receiving land for resettlement.

Assistance for tenants

Transportation allowance with 2,000,000 VND/HH and cash assistance for life stabilization equivalent 30kg rice/person/month during 3 months.

3

Loss of income source due to business interruption

• Economic organizations, households with registered business have been interrupted, assistance with 30% of income after tax according to average income in previous 03 years will be provided.

4 Assistance for vulnerable groups

• Local policies for families entitled to social assistance when the State recovers land and they have to relocate:

• Those who participated in Revolution for Independence before 1945, Military Hero, Vietnamese Hero Mothers, Labor Hero, relatives of military martyr who are receiving monthly social allowance, wounded or disabled soldier, and those ones who receive social assistance similar to war disable persons losing more than 81% human working capacity will be supported 5,000,000 VND/house user;

• Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 61% to 80% will be supported 4,000,000 VND/house user;

• Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 41% to 60% will be supported 3,000,000 VND/house user;

• Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 21% to 40% will be supported 2,000,000 VND/house user

• Those who awared a Resistance Medal - first class; Medal of Victory

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- First class will be supported 1,000,000 VND/house user; • Households entitled to the State’s social allowance policies will be

supported 2.000.000 VND/HH. • Assistance policy of the project: (i) Assistance for changing job

(work at the factory) and (ii) income restoration in the form of training on farming techniques.

Complaints and grievance redress mechanism.

The complaint related to any issue of the Trung Thu Hydropower will be resolved through negotiation to reach consensus, all complaints should be passed 3 steps before elevating to the court: (i) Stage 1: Complaints from APs for the first time shall be lodged verbally or in written form with the resettlement officials of CPC. The resettlement officials of CPC and Task force on resettlement will try to resolve the issue within 15 days from the date the complaint is received. (ii) Stage 2: If no understanding or amicable solution can be reached or if no response is received from the grievance committee within 15 days from filing the complaint, the APs can elevate the case to the DPC or District Compensation Committee. It is expected to respond within 15 days upon receiving the APs appeal. APs should bring his/her complaints within 30 days from the date of initial registration and give the documents to prove their claims. (iii) Stage 3: If the AP is not satisfied with the decision of the DPC, or in the absence of any response, the APs can appeal to the PPC. With the assistance of the Compenstion and Resettlement Committee, the Provincial Compensation Committee and Department of Natural Resources and Environment, Department of Finance, the PPC will issue a decision on the appeal within 30 days from the day the complaint is received. (iv) Stage 4: If the AP is still not satisfied with the decision of the PPC or in the absence of any response within the stipulated time, the APs, as a last resort may submit his/her case to the provincial court.

Where can AHs find more information related to resettlement? Summary of Resettlement plan, the detailed entitlements of the project, compensation unit posted on mass media of CPC, DPC and Trung Thu Hydropower JSC.

For further information and suggestions, please contact to: Mr/Ms. …………………Position…………………Tel………… (Representatives of Muong Cha DCARB). Mr/Ms. ………………...Position………………….Tel………….. (Representatives of Tua Chua DCARB) Mr/Ms. …………Position……………….Tel…………. (Representatives of Trung Thu Hydropower JSC)

94

ANNEX 3 TERMS OF REFERENCE

TERMS OF REFERENCE

FOR INDEPENDENT RESETTLEMENT MONITORING CONSULTANT

I. Introduction

1. The general objective of the Renewable Energy Development Project (REDP) is to increase the supply of least-cost electricity to the national grid from renewable energy sources on a commercially sustainable basis in an environmentally and socially sustainable manner. Trung Thu Hydropower Plant is proposed for study in order to utilize natural flow in Nam Uc river to generate power and connect to local and national area electricity grid with maximum capacity of (29.6 MW).

2. Trung Thu Hydropower Plant locates in a focal route near Nam Uc river estuary converging on the Da river in Pa Ham commune, Muong Cha district and Trung Thu commune, Tua Chua district, Dien Bien province. The main compoments of Trung Thu Hydropower Plant include a reservoir on Nam Muc river with area of 290.2ha and retaining capacity of 30.7 million m3; the headworks include gravity load concrete weir dam with length of 192.5m and width of 40.5m and spillway of 90m; right energetic route including water collecting gate, penstock route of 58m, the hydropower plant with capacity of 29.6 MW. An open distributing station with area of 26X43m is intended to be placed on level of 238,5 m towards upstream of the plant.

3. The Resettlement Plan and the Ethnic Minorities Development Plan have been prepared as requirements of WB to aim: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options. Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan; (ii) ensure that negative and positive impacts have been considered, and relevant measures have also been proposed to eliminate risks or highly mitigate the impacts of the project on the lives and culture of the ethnic minority at affected areas.

II. Objectives

4. General objectives of External Monitoring Agency (EMA) are to provide the third party with information and periodic assessment reports on:

(i) Resettlement activities includes:

- Achievement of resettlement objectives;

- Changes in living standards and livelihoods;

- Restoration of the economic and social base of the affected people;

- The effectiveness, impact and sustainability of entitlements and income restoration programs; the needs for further improvement and mitigation measures; and

95

- Strategic lessons for future policy formulation and planning will also be drawn from the monitoring and evaluation of resettlement

(ii) Issues related to ethnic minorities development such as:

- Implementing the proposed measures to minimize the negative impact;

- The other negative impacts on EM that have not been evaluated or have not yet identified mitigation measures.

- Implementing assistances for developing the local EM community;

- Information has been provide fully or not, the consultantion process with ethnic minority people has been implemented or not and if even, was it effective?

- The process of grievance redress of ethnic minority people for EMDP and other issues that they have to face.

III. Approach methods

5. The methods for external monitoring and evaluation of land acquisition, compensation and resettlement and EM development activities include:

- Review of Detailed Measurement Survey (DMS): As soon as the detailed design is finalized and staked on the ground by Trung Thu Hydropower JSC and CARB, data collection from all APs to establish their eligibility and entitlements will be carried out. The data that will be entered into a database to document the following: a) socio-economic status of affected households; b) nature and extent of losses; and c) entitlements for compensation and other assistance. These data will be made available to the EMA, to enable them to establish a baseline for monitoring and evaluating project benefits. During the conduct of the DMS, the EMA will also monitor the DMS process to determine and assess if DMS activities are being carried out in a participatory and transparent manner.

- Socio-Economic Survey (SES): The SES is designed to provide a clear comparison of the success and/or failure of the resettlement program to restore their livelihoods and living standards. In general, if a lag of 3-5 years or more occurs between census and SES and actual land acquisition, demographic and socio-economic factors may change significantly. In this Project, if land acquisition is not carried out within two years after SES, Trung Thu Hydropower JSC and CARBs will carry out another SES. A post resettlement survey will also be undertaken by the EMA 6-12 months following completion of resettlement activities. Special attention will be paid to the inclusion of women, ethnic groups, the very poor, the landless and other vulnerable groups, with set questions for women and other target groups; and, the database disaggregates information by gender, vulnerability and ethnicity.

- Participatory rapid appraisals (PRA): The PRA will involve obtaining information, identifying problems and finding solutions through participatory means including: a) key informant interviews; b) focus group discussions on specific topics such as compensation payment, income restoration and relocation; c) community public meetings to discuss community losses, integration of resettled households in host communities or construction work employment; d) structured direct field observations, for example, of resettlement site

96

development; e) formal and informal interviews with affected households, women, ethnic minority, and other vulnerable groups; and, f) in-depth case studies of problems are identified by internal or external monitoring and required special efforts to resolve.

- Verification of Replacement cost survey: The EMA will also verify whether compensation paid were at replacement cost. A special market study to validate whether the rates used in compensation in land and other non-land assets were at replacement cost will be undertaken.

IV. Requirements for External Monitoring Agency (EMA)

6. EMA will be an experienced resettlement and social or ethnic minority development consultant. EMA has been established from experienced specialists on resettlement, social and ethnic minority development monitoring for projects funded by ADB, WB, and JICA. They have a University or Master degree (in social sciences or related fields), at least 5 years’ experience in in the preparation and implementation of RP, EMDP and fluency in spoken and written English.

V. Reporting

7. External monitoring, inspection and evaluation reports will be made on yearly basic except for the first stage, it is requested to be made twice/year. All external monitoring reports will be made available to the affected households by placing repots in commune/ward and field offices and will be uploaded on WB website. Table 1 and Table 2 describes monitoring and evaluation indicators during RP and EMDP implementing phase.

Table 1: Monitoring and Evaluation Indicators on implementing RP


Process

Indicators


Staffing Number of Trung Thu Hydropower JSC and field staff on Project, by job function; and

Number of other line agency officials available for tasks

Consultation, Participation and Grievance Resolution

Number of consultation and participation programs held with various stakeholders;

Separate consultation with women ( Kinh), female headed households and ethnic minority women;

Grievances by type and resolution;

Number of field visits by EPMU staff; and

Number of local organizations participating in project Procedures in Operation Review of DMS including verification/quantification

procedures in place and effectiveness of compensation delivery system;

Number of land transfers effected; and

Coordination among Trung Thu Hydropower JSC, relevant provincial departments, and provincial and district officials,

Output

Indicators

(by district and

Acquisition of Land Area of productive land assets acquired (crop land, aquaculture ponds, garden land, etc.);

Area of residential and other non-agricultural lands acquired;

97


commune) Area of communal/government lands acquired; and

Area of other lands acquired. Structures Number, type and size of private structures acquired;

Number, type and size of community structures acquired; and

Number, type and size of government structures acquired. Trees and Crops Number and type of private crops and trees acquired;

Number and type of government/community crops and trees acquired; and

Crops destroyed by area, type and number of owners. Đền bù và tái định cư Number of households affected (for land, buildings, trees,

crops);

Number of owners compensated by type of loss;

Amount compensated by type and owner;

Number and amount of allowances paid;

Number of replacement houses constructed by concerned owners;

Number of replacement businesses constructed by concerned owners;

Number of owners requesting assistance to purchase replacement land, and number of purchases effected;

Number of individual sites and levels of development of sites;

Number of entitlements delivered;

Number of entitlements used by APs;

Suitability of entitlements to affected households as per RP objectives; Number of non-titled AHHs receiving replacement land; and Number of severely affected, very poor or other vulnerable households receiving special assistance and participating in income restoration programs.

Impact

Indicators


Household Earning Capacity

Employment status of economically active members;

Landholding size, area cultivated and production volume, by crop;

Selling of cultivation land;

Changes to livestock ownership – pre- and post disturbance;

Changes to income-earning activities (farm and off-farm) – pre- and post disturbance; and

Amount and balance of income and expenditures. Changes to Status of

Women Commune/Village Resettlement Committees include Women’s Union and Women from affected households;

Involvement of women in the process of preparation of IOL;

98


Number of grievance complaint filed by women and resolution Number of women (including female headed households and ethnic minority women) negotiated compensation effectively; Joint registration of land in the name of husband and wife;

Number of meetings held by women from affected households in planning of livelihood activities; Number of women engaged in gainful livelihood activities/income earning activities/employment in Industrial zones (including female headed households and ethnic minority women);

Number of women participated in capacity building workshop/ training;

Number of women understand the process of resettlement activities ( entitlement, compensation process, etc);

Number of women participated in discussion of resettlement site selection;

Participation in commercial enterprises; and

Participation in community decision-making Changes to Status of

Children School attendance rates (male/female); and

Participation in plant construction. Settlement, Community

and Population Growth in number and size of settlements;

Growth in market areas;

Influx of new settlers, including those with and without land rights;

Changes in economic activities and income-generation opportunities; and

Changes in social, cultural and community conditions.

Table 2: Monitoring and Evaluation Indicators on implementing EMDP


Issues

Basic indicators

1. The progress of EMDP implementation

- The plan has been shared with the community.

- The plan is in line with the implementation conditions of ethnic minority people and is joined by them.

- The plan is relevant to the progress of other activities.

- Adequate human resources available to implement the plan.

- Sufficient funding for implementing the plan.

99


Issues

Basic indicators

2. Implementing community consultations and local people’s participation

- Local EM community, commune authorities and village

leaderships and mass organizations are provided sufficient

information on EMDP, implementation plan and grievance

mechanisms.

- Local EM community, commune authorities and village

leaderships and mass organizations are involved in relevant

activities, especially monitoring the implementation of EMDP.

3. Implementation of measures to mitigate negate impacts from the facility.

- All measures for mitigating negative impacts from the facility are

effectively implemented.

- There are no additional negative impacts arising from the facility,

and if otherwise, there must be a community consultation on

mitigation measures and implementation of the same.

- Various sectors and branches effectively collaborate in

implementing measures to mitigate negative impacts from the

facility.

4. Implementation of specific developmental interventions for local ethnic minority people

- All activities that support the EM development as set out in the

EMDP are implemented effectively.

- Various sectors and branches effectively collaborate in

implementing interventions for community development.

5. Grievance Mechanisms - Ethnic minority community has a clear understanding of the

grievance mechanism.

- District Resettlement Compensation Committee, commune-level

social organizations and commune people’s committee have a clear

understanding of grievance mechanism and are able to assist EM

people to implement such mechanisms.

100

ANNEX 4 CONSULTATION MEETING MINUTES

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

116

117

118

119

120

121

122

ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS

Consultation meeting at Nam Nen commune, Muong Cha district

Worked with Trung Thu commune, Tua Chua district

Worked with the leaders of Muong Bang

commune, Tua Chua district Consultation meeting at Pa Ham commune,

Muong Cha district

People gave their comments at Nam Nen commune, Tua Chua district

Worked with Sinh Phinh commune, Tua Chua district

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Documents

TRUNG THU HYDROPOWER PLANT INVESTMENT & …€¦ · 2016-05-20 · TRUNG THU HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT In Muong Cha district, Tua Chua – Dien Bien province